FIRE Course Catalog

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Fraud Prevention and Detection

Course Code: CE_FPD


Fraud Prevention and Detection is intended for registered representatives, investment advisers and their representatives, operations and support staff, wholesalers, investment banking firms, as well as the compliance and legal personnel of domestic or international broker/dealers. The course is a basic level review of U.S. securities laws as they relate to fraudulent activities and foreign corrupt practices.

Course Description

Money laundering is not the only major threat to the financial services industry. Fraud, bribery, and foreign corruption are having a major impact on the U.S. financial system as well as the financial welfare of many U.S. citizens. Fraud Prevention and Detection covers regulatory requirements, as well as methods of detecting and preventing various types of fraud, bribery, and corruption.

The course also provides an overview of what the U.S. securities laws consider fraudulent, as well as details about some of the most common types of fraud. Case studies included in this course illustrate the mistakes that firms have made regarding fraud and the consequences for their ignorance of fraud laws.

The course then delves into the specific securities laws that seek to curtail the efforts of those who intend to commit fraud. In addition to preventive measures, the student is presented with specific red flag activities that could alert firms, representatives, advisers, and support staff of suspicious activities related to fraudulent activity.

Finally, a case study and list of red flag activities of the Foreign Corrupt Practices Act are presented with key provisions to which domestic and international firms should be alerted.

General Securities Supervision

Course Code: CE_GSS


General Securities Supervision is intended for general securities principals (Series 24) and limited securities principals (Series 26) who have supervisory responsibilities over registered representatives.

This course presumes an understanding of industry basics, including the registration of branch offices and representatives, as well as an understanding of Form BR and Forms U4 and U5. Details of a principal's review of advertising and sales materials are not covered in this course; this information can be found in FIRE Solutions' companion course, Communication with the Public.

Course Description

General Securities Supervision guides you through making the decision to hire a registered rep and the process of bringing new reps on board with your firm. It also provides you with guidance in supervising the day-to-day activities of registered reps, including understanding some of the more common sales practice problems and exception reports.

The course also describes how adhering to a firm's written supervisory procedures (WSPs) can help protect both you and your reps from disciplinary action. Customer complaints are explored - how to avoid and resolve them as well as the criteria for filing complaints with FINRA. Lastly, good supervisory practices are discussed, including ways to protect you as a supervisor, prohibited practices, and special supervision.

Be aware that each broker/dealer has specific guidelines for the type of securities business in which they engage. The descriptions of situations and procedures in this course are general in nature; consult your firm's compliance manual or WSPs for clarification of your firm's policies and procedures.

Gifts and Entertainment

Course Code: CE_GFT_ENT


Gifts & Entertainment is an informational course designed for compliance administrators, managers, registered representatives, investment adviser representatives, municipal securities professionals, institutional representatives, underwriters, wholesalers, and others who may be interested in the regulatory issues involved in business gifts and entertainment.

Course Description

Registered reps use gifts, entertainment, and non-cash compensation to drive business. This course describes applicable rules, exemptions, and reporting requirements to explain how to avoid conflicts with making a profit and meeting client objectives. Using case studies, the student will be able to understand how regulatory expectations apply to normal activities.

Guide to Protecting Client Information

Course Code: CE_GPCI


Guide to Protecting Client Information is intended for anyone working in the financial services industry. Individuals who may benefit the most from this course include registered representatives, investment advisers, their supervisors, operations and sales support staff, and employees with access to client records and information.

Course Description

Guide to Protecting Client Information examines methods used by identity thieves and hackers to steal clients' private information. Lesson 1 gives an overview of these techniques, including pretexting, phishing, Trojan horses, using public Wi-Fi connections, among others. This information helps financial services professionals identify scams before client information is compromised.

Lesson 2 gives insight into the 2003 FACT Act and its Red Flags Rule, and goes on to explore the 1999 Gramm-Leach-Bliley Act and its Safeguard Rule. We explain how these rules impact the daily operation of a financial services firm, and what firms must do to comply with these rules. The lesson lists many measures firms may take to safeguard client data, and looks at situations in which the sharing of this data is allowed.

Hedge Funds

Course Code: CE_HF


This course is intended for registered representatives, investment adviser representatives, and other investment professionals who are interested in hedge funds or funds of hedge funds.

Course Description

Hedge funds can be one of the financial industry's most stimulating, challenging, and rewarding investment products. Financial services professionals who deal in these products, however, should understand them thoroughly before recommending them to clients.

This course provides a well-rounded look into the world of hedge funds including a brief history and some of the strategies employed by hedge fund managers. Recent regulatory changes are explored, as is the rationale for these changes. We also look at the fees charged by hedge funds, and the required disclosures that must be made to clients. The final lesson delves into recent regulatory actions taken against hedge funds so that financial services professionals and their clients are prepared to avoid the same pitfalls.

High Risk Brokers and Heightened Supervision

Course Code: CE_HRBHS


High-Risk Brokers and Heightened Supervision is an intermediate level course intended for securities supervisors, branch managers, and compliance personnel tasked with hiring or investigating high-risk registered representative candidates who are seeking to secure a job with a FINRA member broker/dealer.

Course Description

High-Risk Brokers and Heightened Supervision explains the requirements and best practices for hiring high-risk registered representatives. The course guides you through various considerations that should be analyzed before the decision is made to hire or not to hire a high-risk securities professional. It also reveals the techniques used by other securities supervisors to screen candidates and locate those individuals who are more likely to be successful. Other important factors are highlighted, including registration, training, and supervisory considerations and processes that should be in place when hiring and supervising high-risk brokers. The course ends with a detailed look at FINRA’s High-Risk Broker initiative.

Hiring Successful Securities Professionals

Course Code: CE_HSSP


Hiring Successful Securities Professionals is intended for securities supervisors, branch managers, and compliance personnel tasked with hiring or investigating candidates who are seeking to secure a job as associated persons of a FINRA member broker/dealer.

Course Description

Hiring Successful Securities Professionals guides you through various considerations that should be analyzed before making the decision to hire or not to hire a securities professional. This course reveals the techniques used by other securities supervisors to screen candidates and locate those individuals who are more likely to be successful.

Also discussed is how to analyze information provided by a candidate and other resources that should be utilized during a new hire investigation. This course describes how an initial interview can help ensure success and prevent failure, and offers recommendations on how to analyze a candidate's history.

Finally, the student will learn the required on-boarding filing and registration requirements for new representatives and other associated persons.

IA - Cybersecurity

Course Code: CE_IACYBER


IA - Cybersecurity is designed for those working at investment adviser firms who have responsibilities related to the protection of both customer information and/or proprietary firm information - supervisors, legal, compliance and IT personnel, as well as those who develop firm policies related to cybersecurity. This course is beneficial for all associated persons who wish to learn more about how to protect this information from misuse and illegal activity.

Course Description

This course explores the cybersecurity risk management policies and procedures that regulators expect firms to have in place. Best practices for employees who create cybersecurity plans and the employees who are impacted by them are described. Finally, resources for developing and advancing a firm’s cybersecurity program are laid out. A scenario and examples throughout the course help illustrate the need for a strict cybersecurity program and appropriate cyber supervisory controls.

IA Senior Client Protection

Course Code: CE_IASCP


IA - Senior Investor Protection is an intermediate-level course intended for investment adviser representatives, sales support staff, compliance staff, and supervisors who interact with senior investors, or supervise others who do.

Course Description

his course reviews recent regulatory focus on senior investors, including the Senior Safe Act, NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation, and the SEC’s Senior Client Initiative. These regulatory efforts aim to protect senior investors from financially exploitative and abusive behavior by third parties. The course outlines specific regulatory guidelines to help firms comply as well as help protect their senior and vulnerable adult investors.

The course also highlights:

  • The scams used to prey upon senior investors
  • Red flags for financial abuse
  • How to recognize and what to do when a client displays diminished capacity or elder abuse
  • Best practices for handling senior accounts
  • Case studies and recent disciplinary actions

Identity Theft - FACT Act

Course Code: CE_IDFACT


Identity Theft --- FACT Act is designed for those working in the financial services industry who have contact with sensitive customer information. This course is beneficial for all firms required to comply with the SEC's FACT Act Identity Theft Rules.

Course Description

Identity Theft --- FACT Act is a useful tool in fulfilling a firm's training requirements prescribed for Firm Element Continuing Education as well as the FACT Act Red Flag training required by the Securities and Exchange Commission (SEC). This course examines the primary rules that protect customer information and the role that employees play in identifying identity theft red flags. Real-life case studies help illustrate the importance of following an identity theft identification program. Finally, the course covers various methods used by hackers who steal customer identities.

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