NRS Course Catalog

ACMNow - Annual Compliance Meetings On Demand

NRS offers ACMNow as an on-demand solution for satisfying annual compliance meeting requirements.

  • Students can attend any time, with a click-as-you-go interface allowing them to study at their own pace.
  • Polling questions at the end of each topic gives student instant feedback on their answer selections.
  • An interactive FAQ feature allows students to ask compliance related questions and compliance officers to respond and administrate the process.
  • Bookmarking allows student to leave the meeting and return to the last uncompleted section.
  • Students must confirm attendance at the end of the meeting by answering an attestation question, and then print their own completion certificate.
  • Management reports track attendance date, elapsed time, and answer choice selections, in a format that is easily converted to excel.
  • A customized compliance questionnaire can be added to the meeting as another requirement for a completed status.

You can purchase an off-the-shelf ACMNow meeting for your team using Blaze Xpress, or contact us to develop a customized meeting.

ACMNow Topics

Times listed below are approximate and depend on customizations or student reading speed for ACMNow. Anticipate 2-3 minutes for each interactive question in addition to topic presentation. Ideally, an Annual Compliance Meeting agenda consists of a maximum of 4-6 topics (approx. 1 hour) to incorporate interactivity and ensure that attendees understand the material presented.

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Showing results 1-10 of 84.

529 Educational Savings Plans

Approximate Time: 13 minutes

Topics:

  • Explain 529 plans: Advantages and disadvantages
  • Donor control
  • Gift tax advantages, disadvantages, and limits to flexibility
  • In-state vs. out-of-state
  • Asset allocation strategy
  • Suitability checklist

Annuity Living Benefits Riders

Approximate Time: 20 minutes

Topics:

  • Guaranteed Minimum Withdrawal Benefit (GMWB)
  • Guaranteed Minimum Accumulation Benefit (GMAB)
  • Guaranteed Minimum Income Benefit (GMIB)
  • Long-term care riders
  • Step-up feature
  • Definitions, illustrations, suitability, and conditions

Anti-Money Laundering - Institutional

Approximate Time: 13 minutes

Topics:

  • PATRIOT Act overview and definition of AML stages
  • AML high risk institutional accounts
  • Suspicious activity - red flags in institutional accounts
  • Suspicious activities and SAR filing requirements

Anti-Money Laundering - Policies and Procedures

Approximate Time: 10 minutes

Topics:

  • The USA PATRIOT Act
  • Identification process and notification requirements
  • Prevention of AML violations
  • Suspicious red flags and SAR filing requirements

Anti-Money Laundering - Red Flags - Retail and Operations

Approximate Time: 10 minutes

Topics:

  • Describe your role in identifying high risk accounts
  • Explain the process to determine whether a new customer has terrorist ties
  • Identify high risk accounts and activities
  • List common risk factors associated with wired funds
  • State warning signs of terrorist/illegal activity in receiving/disbursing funds
  • A "What would you do?" case study

Anti-Money Laundering for Bank Broker/Dealers

Approximate Time: 20 minutes

Topics:

  • Customer identification procedures
  • Activities related to money laundering
  • Suspicious activity reporting
  • Enhanced due diligence and dealing with restricted entities
  • Bank Secrecy Act reporting requirements and reporting the receipt of currency

Asset Allocation

Approximate Time: 5 minutes

Topics:

  • Diversification
  • Risk/return tradeoff
  • Market hypothesis
  • Optimal portfolio theory
  • Portfolio risk and correlation
  • Capital Asset Pricing Model (CAPM)
  • Beta and alpha

Best Execution

Approximate Time: 17 minutes

Topics:

  • Defining best execution
  • FINRA's Three-quote rule
  • Regulation NMS and Limit order display/protection
  • Market orders and marketable limit orders
  • Trade routing

Books and Records

Approximate Time: 12 minutes

Topics:

  • Form U4 filing and update requirements
  • Confirmation of customer financial information
  • Address changes
  • Required new account form information
  • Order ticket requirements
  • Email retention
  • Customer complaints
  • Requirement to maintain customer records in branch locations

Communications - Use and Supervision of Social Networking Sites and Blogs

Approximate Time: 17 minutes

Topics:

  • Regulatory requirements
  • Online recommendations and suitability
  • Pre-approval and post-approval
  • Risk based supervision
  • Supervision of third-party posts
  • Best practices guide
Want to build your own program for your team or firm? Check out Blaze Xpress. Or contact us for a customized solution built to meet your needs.