NRS Course Catalog

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Showing results 101-110 of 175.

Market Conduct

Course Code: CE_MC


Market Conduct is a basic level course designed for all registered representatives, investment adviser representatives, supervisors, sales support staff, and individuals working in a firm's compliance and legal departments. Anyone who is interested in proper sales practices and the issues surrounding prohibited practices will find this course informative.

Course Description

This course helps to define actions that should and should not be taken in your daily course of business. We look at the basic principles of fair dealing, rules that affect sales, communications with the public and interactions with clients, and cite case studies that help you to understand how the rules are meant to protect your most valuable asset - your clients.

Anyone who has ever searched for guidance in conducting business in the securities industry knows that the regulators have published volumes of rules, interpretive materials (IMs), Notices to Members (NTMs), and Regulatory Notices. After completing this course, you will have a clearer picture of how you can reduce regulatory risks through your own business conduct.

NASD and FINRA rules, Interpretive Materials, and Notices to Members are cited throughout this course. The Online Resources section at the end of this course provides you with links to these references so that you may better understand and interpret them as they apply to your firm.

CFP Program ID: 234883     CFP Credit Hours: 1.00

Market Risk and Volatility - An Economic Outlook

Course Code: CE_MRV


Market Risk & Volatility - An Economic Outlook is a basic to intermediate course intended to help retail and institutional representatives, investment advisers and their principal supervisors better understand how market risk and volatility affect their clients' investments. Others who may benefit from this course include compliance officers and compliance administrators. 

Course Description

Market Risk & Volatility - An Economic Outlook is designed to help retail and institutional representatives as well as investment advisers educate their clients about how the Fed influences the economy, and how movements in economic indicators, interest rates, inflation, and other factors can affect anticipated investment results. The course also discusses general investment risks, volatility, and regulatory measures to lessen volatility in the markets.

Mortgage-Backed Securities

Course Code: CE_MBS


This course is intended for brokers, traders, and supervisors who have a background in the issuance, distribution, compliance, and risks involved with securities. Those taking this course should have an understanding of the securities markets and the wide variety of securities products that are offered for sale to investors. This course explains the essential risks and disclosure obligations associated with mortgage-backed securities.

Course Description

After completing Mortgage-Backed Securities, you will have a thorough understanding of the risks involved in issuing, selling, and trading mortgage-backed securities. You will be able to follow the path from origination through distribution. In addition, you will learn more about general rules regarding disclosure and the SEC's efforts to enhance disclosure in the mortgage-backed securities market.

You will also understand more about the 2008 conservatorship and challenges faced by two key government-sponsored enterprises that have been the largest entities involved in securitizing mortgage loans - Fannie Mae and Freddie Mac.

CFP Program ID: 234885     CFP Credit Hours: 1.00

MSRB - Current Regulatory Concerns

Course Code: CE_MSRBCRC


MSRB - Current Regulatory Concerns is for municipal financial professionals, municipal advisor professionals, and municipal principals as well as anyone interested in the regulatory initiatives for municipal securities.

Course Description

Firms that provide municipal securities products to their clients face two major challenges: 1) keeping current with the fast-paced regulator, the Municipal Securities Rulemaking Board (MSRB), as well as the SEC and FINRA; and 2) staying compliant with these fast-changing rules. This course is designed to centralize the most current rule changes submitted by the MSRB and approved by the SEC

MSRB Advisors

Course Code: CE_MSRB_ADVIS


This course is an intermediate level course and presumes that the reader has a general understanding of basic MSRB industry terms and concepts. This course is well-suited for registered representatives, municipal securities sales representatives, municipal finance professionals (MFPs), and their supervisors.

Course Description

The SEC and MSRB have developed a new regulatory framework that includes new municipal advisor rules for the sale of municipal securities. MSRB Advisors provides an overview of these new rules and regulations and offers a comprehensive overview of the specific priorities FINRA will be undertaking in its exam priorities. Since some firms do not realize that they are subject to registering as municipal securities professionals, Lesson 1 gives comprehensive descriptions and definitions of municipal securities and the professionals selling them, as well as who is exempt from registration. Lesson 2 delves into the municipal advisor registration process and requirements and also lists the books and records requirements mandated by the 1934 Act. Lesson 3 completes the course with an overview of other SEC and MSRB rules, including the proposed Rule G-42.

CFP Program ID: 234886     CFP Credit Hours: 1.00

MSRB: Fair Dealings and Sales Practices

Course Code: CE_MSRB_FDSP


Although this course provides an introductory level of the Municipal Securities Rulemaking Board's (MSRB) fair practices rules, it presumes that the reader has a general understanding of basic industry terms and trading concepts. Generally, MSRB sales practice rules apply to brokers, dealers, and municipal securities dealers and their associated persons. This course is well-suited for registered representatives, municipal securities sales representatives, municipal finance professionals (MFPs), and their supervisors.

Course Description

MSRB: Fair Dealing and Sales Practices provides an overview of municipal securities and who deals in them. We look at the rules and regulations that affect municipal securities transactions, as well as some of the sales practices that should be followed. We discuss the limits on gifts, entertainment, and non-cash compensation, as well as limits on political contributions. Finally, we delve in to the different disclosures that issuers, brokers, dealers, and municipal securities dealers must provide to the regulators, the public, and clients.

CFP Program ID: 200231     CFP Credit Hours: 1.00

MSRB: Political Contributions and "Pay-to-Play" Practices

Course Code: CE_MSRBR_PC


This course provides an intermediate understanding of the compliance and reporting requirements of the Municipal Securities Rulemaking Board's (MSRB) political contributions rules. The individuals who benefit most from this course are those who already have a basic understanding of municipal securities.

Course Description

As a general guideline, political contribution requirements apply to brokers, dealers, municipal securities dealers, municipal finance professionals (MFPs), and political action committees (PACs) controlled by the dealer or any municipal finance professional. In addition, the record keeping and disclosure provisions apply to non-MFP executive officers of the dealer.

MSRB: Political Contributions: "Pay-to-Play" Practices provides an overview of the political contribution rules that can prohibit a firm from conducting underwriting activities with municipalities. Upon completion of this course, the student will understand the primary purpose and prohibitions of MSRB Rule G-37, and how it impacts the municipal underwriting process.

CFP Program ID: 237633     CFP Credit Hours: 0.50

Mutual Fund Basics

Course Code: CE_MFB


Mutual Fund Basics is directed to registered representatives, investment adviser representatives, and their supervisors. This course is appropriate for both new and experienced representatives involved in mutual fund transactions.

Course Description

Because mutual funds are complex investments, they have many facets that should be explored before financial services professionals recommend them to their clients. Mutual Fund Basics looks at some of the different aspects of mutual funds - sales requirements, management, share classes, and types of funds. Additionally, the course explores some of the rules and guidelines that are enforced by the regulators, and reminds students to research the specific policies of each fund family. After taking this course, students should have a solid understanding of mutual funds and the tools that are available to help match clients with a suitable mutual fund.

CFP Program ID: 234905     CFP Credit Hours: 1.00

Mutual Fund Classes, Breakpoints, and Switches

Course Code: CE_MFCBS


Mutual Fund Classes, Breakpoints, and Switches is an introductory level course intended for registered representatives. Seasoned representatives and supervisors may also find this course beneficial as a refresher.

Course Description

Mutual Fund Classes, Breakpoints, and Switches describes mutual fund share classes, how they differ from one another, and the fees and expenses associated with each so you can better determine the share class that is appropriate for your client.

Lesson 2 defines breakpoints and lists ways in which investors may qualify for breakpoints. We also look at the regulators' concerns regarding sales breakpoints and the findings and results of a marketwide investigation in 2002. Lesson 2 ends with a detailed discussion of breakpoint sales, which is a violation of industry rules.

The final lesson defines switches and exchanges, and the impact of each on investors. Finally, we look at some real-life case studies involving switching, and the consequences of unsuitable and unauthorized switching.

CFP Program ID: 237634     CFP Credit Hours: 0.50

Mutual Fund Recommendation Analysis

Course Code: CE_MFRA


Mutual Fund Recommendation Analysis is intended for registered representatives who deal in mutual funds. Registered reps who do not have experience with mutual funds will be introduced to concepts and strategies for the first time, and those who have been working with mutual funds for years will be reminded of their duties and responsibilities when recommending mutual funds.

Course Description

Mutual Fund Recommendation Analysis describes the fundamentals for analyzing mutual funds and how to match a client's objectives, risk tolerance, and time horizons with an appropriate mutual fund. The course discusses how to manage a client's expectations, and introduces various tools and industry terms used in analyzing the funds under consideration.

CFP Program ID: 234908     CFP Credit Hours: 1.00

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