Courses by Job Function

Course Name
General Securities Representative (Series 7)
Mutual Fund and Annuity Sales Rep (Series 6)
Certified Financial Planner
Futures Rep (Series 3 and 31)
Insurance Licensed Individual
Investment Adviser Rep
Investment Banker / Underwriter
Licensing and Registration
Market Maker
Operations Staff
Research Analyst
Supervisor / Management / Principal
"Pay-to-Play" Practices for FINRA Member Firms
401(k) Plans
529 Plans
Alternative Mutual Funds
AML - A Historical Review
AML - Compliance and Regulatory Issues 2020
AML Current Issues 2021
AML Policies and Procedures
AML Red Flags - Retail and Operations
Annuity Living Benefit Riders
Anti-Money Laundering
Anti-Money Laundering for Institutional Brokers
Asset Allocation
Asset-Backed Securities: Non-Conventional Investments
Best Execution
Bond Markets
Books and Records
Branch Office Inspections and Supervision
Business Continuity Plans
Business Development Companies
CDs and Money Market Instruments
Communications - Use and Supervision of Social Networking Sites and Blogs
Communications With the Public
Comparing Education Savings Plans
Complex Products - Regulatory Issues
Complex Products - Supervision
Complex Products and Regulation Best Interest
Compliance Policies and Risk Mitigation (Previously: Compliance Officer Responsibilities)
Conflicts of Interest
Conflicts of Interest - Multifunctional Firms
Consolidated Audit Trail (CAT)
Corporate Debt I: Introduction to Corporate Debt Instruments
Corporate Debt II: Their Features
Corporate Debt III: The Underwriting Process
Corporate Debt IV: Ratings, Pricing and Yields
Corporate Debt V: Risk & Investment Strategies
Creating a Culture of Compliance
Customer Account Transfers
Customer Complaint Handling for Front-Line Sales Personnel
Customer Identification Programs
Cybersecurity - Threats and Trends
Cybersecurity for Representatives and Clients
Cybersecurity: Risk Management and Supervision
Deferred Variable Annuities - FINRA Rule 2330
Discretionary Trading and Supervision
Distribution of Third Party Research Reports
Educational Investments, Credits, and Deductions
Electronic Communications
Email Etiquette
Enhanced Due Diligence
Equity Security Recommendations
ERISA and The Fiduciary Standard
Estate Planning
Ethics and Non-Cash Compensation
Ethics for Futures Reps
Ethics for Institutional Representatives
Ethics for Research Analysts
Ethics for Wholesalers
Ethics General
Exchange-Traded Funds
Fair Pricing and Compensation
Fee Based Advisory Accounts
Fiduciary Responsibility
FINOP Duties and Customer Protection
FINRA Exam Findings and Priorities 2019 - Part 1
FINRA's Arbitration Process
FINRA's BrokerCheck and Web CRD
Fixed Income Securities - Regulatory Issues
Form ADV
Form CRS
Fraud Prevention and Detection
General Securities Supervision
Gifts and Entertainment
Guide to Protecting Client Information
Hedge Funds
High Risk Brokers and Heightened Supervision
Hiring Successful Securities Professionals
IA - Cybersecurity
IA Senior Client Protection
Identity Theft - FACT Act
Impact of Market Events on Variable Products
Indexed Annuities
Information Barriers
Insider Trading
Institutional Communications
Institutional Sales Rep Responsibilities
Institutional Trading
Introduction to Equity Options Strategies
Investment Adviser - Client Data Protection
Investment Adviser - New Accounts and Disclosure Requirements
Investment Adviser - Valuation of Customer Holdings
Investment Adviser Basics
Investment Adviser: Ethical Trading Practices
Investment Adviser: "Pay-to-Play" Practices
Investment Adviser: Conflicts of Interest
Investment Adviser: Marketing and Advertising Communications
Investment Advisor - Insider Trading
Investment Advisor - Performance Advertising
Investment Banking: Introduction
Investment Banking: Registering the Issue
Investment Banking: The Regulations
Investment Programs, DPPs, & REITs
IPO Allocations
Know Your Customer
Margin Accounts
Market Conduct
Market Risk and Volatility - An Economic Outlook
Mortgage-Backed Securities
MSRB - Current Regulatory Concerns
MSRB Advisors
MSRB: Fair Dealings and Sales Practices
MSRB: Political Contributions and "Pay-to-Play" Practices
Mutual Fund Basics
Mutual Fund Classes, Breakpoints, and Switches
Mutual Fund Recommendation Analysis
Mutual Fund Risk and Performance Concepts
Mutual Fund Supervision
New Products
Opening New Accounts
Operations Supervision
Options - Current Regulatory Concerns
Outside Business and Personal Trading Activities
Preventing Illegal Resale of Restricted & Unregistered Stocks
Preventing Sexual Harassment
Privacy Protection Rules
Private Placement Securities
Private Placement Underwriting
Public and Private Offerings - Regulatory Concerns
Registered Representative Obligations
Regulation Best Interest (Reg BI)
Regulation NMS
Regulatory Actions Against Firms and Supervisors
Regulatory Actions Against Institutional Representatives
Regulatory Actions Against Investment Advisers and Hedge Funds
Regulatory Actions Against Representatives
Regulatory Actions Against Wholesalers
Research Reports and the Role of Analysts
Retirement Plans
Risk-Based Investment Adviser Supervision
Riskless Principal and Mixed Capacity Trading
Roth IRA
Rule 144
Sales Practices for Senior Clients
Sarbanes-Oxley Act of 2002
SEC Exam Findings and Priorities 2019
Securities Crowdfunding
Securities Valuation and Analysis
Senior Investor Protection - The NASAA Model Act
Senior Safe Act
Short Sales and Affirmative Determination
Small Firm Compliance
Soliciting New Accounts
State Registered IAs - Basics & Regulatory Issues
Stock Buybacks
Structured Products
Suitability of Exchange-Traded Products
Supervising Associated Persons
Supervising Senior Accounts
Supervision and Surveillance
Supervision of Communications
Supervision of Exchange-Traded Products
Supervision: Hiring Practices and Registration Requirements
Supervisory Controls
Tax Treatment of Variable Annuities
Taxation - Introduction to Gains, Losses, and Income
Taxation of Products and Strategies
Tenants in Common - 1031 Exchanges
Trade Reporting And Compliance Engine (TRACE)
Trading Equities I: Fundamentals and Systems
Traditional IRAs and Rollovers
U.S. Government Bonds
Unit Investment Trusts
Variable Annuity Basics
Variable Annuity Sales Practices
Whistleblower Provisions Under The Dodd Frank Act
Wholesaler Communications
Wholesaler Responsibilities
Wholesalers - Gifts and Entertainment
Wrap Fee Accounts