NRS Course Catalog

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FINRA: 529 Savings Plans and ABLE Programs

Course Code: FINRA_ELC258

Course Description

This course explains the unique characteristics and common costs associated with 529 savings plans and Achieving a Better Life (ABLE) programs. Participants are presented with scenarios that emphasize a registered representative’s regulatory responsibilities when recommending these products to clients.

CFP Program ID: 254420     CFP Credit Hours: 1.00

FINRA: AML - Bank-Affiliated Broker-Dealers: Understanding Your Role, Vol. 1 (ELC233)

Course Code: FINRA_ELC233

Course Description

FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. Scenarios in this course will help registered representatives at bank-affiliated broker-dealers identify unusual activity in customer accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises.

By taking this course, you will be able to:

  • Understand why broker-dealers have AML compliance programs.
  • Know what is required to conduct customer identity verification.
  • Recognize the importance of ongoing due diligence as it relates to customers and their accounts.
  • Identify "red flags" that may signal money laundering or other potentially suspicious activity.
  • Better understand your role in recognizing and escalating suspicious activity.

CFP Program ID: 237112     CFP Credit Hours: 0.50

FINRA: AML - Broker-Dealers Conducting Business With Foreign Customers: Understanding Your Role, Vol. 1 (EL-ELC235)

Course Code: FINRA_ELC235

Course Description

FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. Scenarios in this course will help registered representatives who conduct business with foreign customers identify
unusual activity in their accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises.

By taking this course, you will be able to:

  • Understand why broker-dealers have AML compliance programs.
  • Know what is required to conduct customer identity verification.
  • Recognize the importance of ongoing due diligence as it relates to customers and their accounts.
  • Identify "red flags" that may signal money laundering or other potentially suspicious activity.
  • Better understand your role in recognizing and escalating suspicious activity.

CFP Program ID: 237192     CFP Credit Hours: 0.50

FINRA: AML - Compliance: Suspicious Activity Surveillance, Part 1 (EL-ELC195)

Course Code: FINRA_AMLC_SAS1_E

Course Description

This course is the first course in a two-part anti-money laundering series for compliance staff. The activities in this course aim to help compliance professionals identify the types of red flags that could trigger a SAR filing, and illustrate ways to examine and respond to red flags.

FINRA: AML - Compliance: Suspicious Activity Surveillance, Part 2 (EL-ELC196)

Course Code: FINRA_AMLC_SAS2_E

Course Description

This course is the second in a two-part anti-money laundering series for compliance staff. The case studies in this course demonstrate monitoring techniques to prepare broker-dealer compliance staff to identify, investigate and report suspicious activity in customer accounts. It also includes practice on how to write an effective SAR narrative.

FINRA: AML - Independents: More Key Concepts (EL-ELC221)

Course Code: FINRA_ELC221

Course Description

FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. The scenarios in this course aim to help registered representatives identify unusual activity in customer accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises.

By taking this course, you will be able to:

  • Understand why broker-dealers have AML compliance programs.
  • Know what is required to conduct customer identity verification.
  • Recognize the importance of ongoing due diligence as it relates to customers and their accounts.
  • Identify "red flags" that may signal money laundering or other potentially suspicious activity.
  • Better understand your role in recognizing and escalating suspicious activity.

CFP Program ID: 237193     CFP Credit Hours: 0.50

FINRA: AML - Independents: Understanding Your Compliance Obligations (EL-ELC206)

Course Code: FINRA_ELC206

Course Description

FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. In this course, scenarios highlight risks independent firms and registered representatives face when handling unusual account activity and expediting the account-opening process.

By taking this course, you will be able to:

  • Understand why broker-dealers have AML compliance programs.
  • Know what is required to conduct customer identity verification.
  • Recognize the importance of ongoing due diligence as it relates to customers and their accounts.
  • Identify "red flags" that may signal money laundering or other potentially suspicious activity.
  • Better understand your role in recognizing and escalating suspicious activity.

CFP Program ID: 237194     CFP Credit Hours: 0.50

FINRA: AML - Institutional: Customer Identification Procedures (EL-ELC152)

Course Code: FINRA_AML_INT_CIP_E

Course Description

Scenarios illustrate the customer identification process and address typical situations involving institutional customers.

FINRA: AML - Institutional: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence (EL-ELC176)

Course Code: FINRA_AMLI_ECD_E

Course Description

Scenarios demonstrate the need to obtain proper customer identification for institutional accounts and emphasize the importance of due diligence.

FINRA: AML - Institutional: Exploring New Risks (EL-ELC135)

Course Code: FINRA_AML_IN_ENR_E

Course Description

Scenarios cover situations involving a suspect sub-account, including account opening and subsequent trading and funding activity, and due diligence with a high-risk client.

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