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Regulatory Actions Against Institutional Representatives

Course Code: CE_RAAIR

Audience

Regulatory Actions Against Institutional Representatives is intended for all FINRA registered institutional representatives, investment advisers, and their supervisors. This course would also be beneficial for compliance professionals and management level officers.

Course Description

Regulatory Actions Against Institutional Representatives raises awareness of the FINRA disciplinary process, and the degree to which firms and their institutional representatives can be punished for making bad decisions. Lesson 1 reviews the disciplinary process and relevant statistics. The lesson is summarized with a look at the motivating factors behind bad decisions in an effort to redirect the potential for unethical behavior.

Lesson 2 provides an opportunity for institutional representatives to anticipate what sanctions might be levied for various rule violations in real case studies.

CFP Program ID: 237739     CFP Credit Hours: 0.50

Regulatory Actions Against Investment Advisers and Hedge Funds

Course Code: CE_RAAIAHF

Audience

Regulatory Actions Against Investment Advisers and Hedge Funds is intended for all investment advisers, investment adviser representatives, and hedge fund personnel dually registered with a FINRA member firm, and their supervisors. This course would also be beneficial for compliance professionals and management level officers.

Course Description

Regulatory Actions Against Investment Advisers and Hedge Funds raises awareness of the FINRA disciplinary process and the degree to which firms and registered individuals can be punished, by either FINRA or the SEC, for making bad decisions. Lesson 1 reviews the disciplinary process and relevant statistics. The lesson is summarized with a look at the motivating factors behind bad decisions in an effort to redirect the potential for unethical behavior.

Lesson 2 provides an opportunity for IAs, IARs and hedge fund personnel to anticipate what sanctions might be levied for various rule violations.

CFP Program ID: 234927     CFP Credit Hours: 1.00

Regulatory Actions Against Representatives

Course Code: CE_RAAR

Audience

Regulatory Actions Against Representatives is intended for all FINRA registered representatives and their supervisors. This course would also benefit compliance professionals and management level officers.

Course Description

Regulatory Actions Against Representatives raises awareness of the FINRA disciplinary process, and the degree to which firms and representatives can be punished for making bad decisions. Lesson 1 looks at the factors the regulators take under consideration when determining penalties, and how failing to disclose information often leads to infractions. The lesson is summarized with a look at the motivating factors behind bad decisions in an effort to redirect the potential for unethical behavior.

Lesson 2 provides an opportunity for representatives to anticipate what sanctions might be levied for various rule violations.

CFP Program ID: 237740     CFP Credit Hours: 0.50

Regulatory Actions Against Wholesalers

Course Code: CE_RAAW

Audience

Regulatory Actions Against Wholesalers is intended for all FINRA registered wholesalers and their supervisors. This course would also benefit compliance professionals and management level officers.

Course Description

Regulatory Actions Against Wholesalers raises awareness of the FINRA disciplinary process, and the degree to which wholesalers can be punished for making bad decisions. Wholesalers have a unique position in that they don't make sales to the end investor; rather, they promote their products to the representative who makes the final sale to the end investor. This unique vantage point often raises the question of the degree of responsibility that wholesalers share with their representative counterparts.

Lesson 1 reviews the disciplinary process and some relevant statistical information. The lesson is summarized with a look at the motivating factors behind bad decisions in an effort to redirect the potential for unethical behavior.

Lesson 2 provides an opportunity for wholesalers to anticipate what sanctions might be levied for various rule violations in real case studies.

Research Reports and the Role of Analysts

Course Code: CE_RRRA

Audience

This course is designed for research analysts, research support staff, investment banking personnel, research analyst supervisors, and others interested in the regulatory aspects of equity research.

Course Description

The role of research analysts and the nature of their research must be objective. Concerns regarding how analysts confer ratings are constantly under scrutiny by regulators; in particular, the research must by impartial and all conflicts of interest must be disclosed. Effective in 2015, FINRA Rule 2241 addresses such concerns with research analyst activities. Further, it explains how the rule retains the core provisions of Rules 2711 and 472 while broadening the obligations of firms to identify and manage research related conflicts of interest. Lastly, the course provides clarity to the applicability of certain provisions of existing rules in order to increase investor protection.

CFP Program ID: 234928     CFP Credit Hours: 1.50

Retirement Plans

Course Code: CE_RETPLAN

Audience

Retirement Plans is an intermediate course intended for retail and investment adviser representatives, as well as any financial service industry professional interested in learning about retirement plan options. The course is designed to help representatives advise investors on issues related to retirement savings and make educated choices about comparing retirement plan options for their clients. Because the course also discloses regulatory concerns surrounding retirement plans, supervisors will also find this course helpful.

Course Description

Retirement Plans describes how various types of retirement plans can be used to help investors save for retirement. The course first discusses the history of retirement funding and the creation of the Employee Retirement and Security Act (ERISA). It then delves into the various retirement plans and current regulatory focus on each, including defined contribution and defined benefit plans, and traditional and Roth IRAs. In addition, the course offers pros and cons that can serve as a guide when an investor is selecting between these types of plans or is considering a rollover. Finally, the course outlines recent Department of Labor regulations regarding ERISA fiduciary status.

CFP Program ID: 234929     CFP Credit Hours: 1.00

Risk-Based Investment Adviser Supervision

Course Code: CE_RBIAS

Audience

Risk-Based Investment Adviser Supervision is intended for supervisors and compliance personnel responsible under the Investment Advisers Act of 1940 (The Act) to supervise investment advisers (IAs), investment adviser representatives (IARs), and their compliance with the Act. This course would also be appropriate for the financial and operations principals as well as executive management personnel and anyone with a vested interest in the outcome of their next SEC or state regulatory examination.

Risk-Based Investment Adviser Supervision is an intermediate to advanced level course designed to help supervisors and compliance professionals focus resources on testing and supervision of issues most relevant to regulators.

Course Description

The starting point of a sound compliance program is the assessment of risk factors. This course includes a list of SEC-defined risk categories for IAs that will help to identify high-risk activities at the firm, and prioritize resources to minimize the risk of potential harm to the firm and its clients.

Along with a brief explanation of the regulatory focus for each risk category is a list of specific testing procedures to help flush out any unknown high-risk activities. Some of the testing procedures are designed to be used during a risk assessment, and others are designed to be used as part of daily supervisory duties.

CFP Program ID: 234932     CFP Credit Hours: 1.00

Riskless Principal and Mixed Capacity Trading

Course Code: CE_RISK

Audience

Representatives who actively trade Nasdaq and Consolidated Quotation System (CQS) stocks will find this course informative, while market makers will recognize their role in executing mixed capacity trades and using firm proprietary accounts and omnibus accounts. Additionally, this course reviews the requirements for properly reporting trades to ACT/TRF and to OATS.

Course Description

This course provides the essential information about accepting; processing and reporting riskless principal and mixed capacity trades involving Nasdaq National Market and InterMarket securities. It also provides an overview of why mixed capacity trading has become more prevalent in executing Nasdaq and Intermarket securities trades. This course addresses a rule change.

This regulatory rule change deals with the simplified "Executing Party" reporting structure for OTC security trades.

CFP Program ID: 234933     CFP Credit Hours: 1.00

Roth IRA

Course Code: CE_ROTHIRA

Audience

The Roth IRAs course is designed to meet Firm Element Continuing Education standards for Series 6 and Series 7 registered representatives as well as investment adviser representatives who open retirement accounts for retail investors and advise them on issues related to retirement and estate planning.

Course Description

This course describes the creation and use of Roth IRAs, as well as how they can be applied to retirement and estate planning for clients. In addition, the course outlines the components that can serve as a guide when an investor is selecting between traditional IRAs and Roth IRAs for new investments or conversions. Finally, scenarios are presented to help you assess real life situations and apply what you have learned from the course material.

CFP Program ID: 200230     CFP Credit Hours: 1.00

Rule 144

Course Code: CE_RULE144

Audience

Rule 144 is a basic level course directed to registered persons and associated persons of broker/dealers who deal with restricted securities.

Course Description

Rule 144 of the Securities Exchange Act of 1933 allows for the public sale of restricted and control securities. This course provides financial services professionals with a solid understanding of the rule to better assist clients who hold restricted or control securities.

The course delves into Rule 144, defining restricted securities, control securities, and affiliates. Additionally, it provides details into the five requirements needed to comply with Rule 144. The seller's representation letter and broker's affidavit that are needed when selling securities under Rule 144 are also explored. The course is wrapped up with a case study of the consequences when trades do not comply with the rule.

CFP Program ID: 237741     CFP Credit Hours: 0.50

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