NRS Course Catalog

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Showing results 141-150 of 168.

Soliciting New Accounts

Course Code: CE_SNA


Soliciting New Accounts is appropriate for both new and experienced registered representatives involved in the solicitation of new accounts.

Course Description

Soliciting New Accounts provides an overview of the registration requirements that must be met before you can solicit a new account, as well as the rules surrounding telephone solicitations and other methods of communications. The course defines different means of communicating with the public, and provides insight into the review and approval requirements of each. The course also discusses risk tolerance and provides guidance in making recommendations that are suitable for your clients.

Stock Buybacks

Course Code: CE_SB


This course is intended for registered representatives and traders who interact with clients representing securities issuers, as well as anyone interested in how and why issuing companies buy back their own stock.

Course Description

In theory, stock buybacks by corporations tend to increase significantly during a period of market decline. Why? Corporations feel that their stock is cheap. By repurchasing their stock in the open market, corporations are sending a signal that they feel that their stock is undervalued.

SEC Rule 10b-18 provides a safe harbor from the securities antifraud provisions for corporations to repurchase their stock, providing the corporations and their broker/dealers comply strictly with the rule, including its manner, timing, pricing, and volume restrictions.

This Stock Buybacks course defines what a corporate stock buyback is, and how corporations can use the safe harbor provisions of SEC Rule 10b-18 to limit the liability of antifraud provisions.

CFP Program ID: 237743     CFP Credit Hours: 0.50

Structured Products

Course Code: CE_SP


Structured Products is intended for representatives, investment advisors, institutional representatives, traders, and supervisors who have a well-rounded background in the issuance, distribution, and risks of conventional securities. Those taking this course should have an intermediate understanding of the securities markets and the wide variety of securities products that are offered for sale to investors.

Course Description

Structured Products sheds some light on the complex and often illiquid structured products that play a vital role in the health of our economy. Structured Products helps students identify the risks involved in these products and consider the issues that are important to regulators.

After studying this course, students will be well-equipped to address the latest regulatory concerns and to educate potential investors about the unique features of structured products, derivatives, and nonconventional investments.

CFP Program ID: 234936     CFP Credit Hours: 1.00


Course Code: CE_SUIT_SUP


Suitability is a basic level course designed for registered representatives and investment adviser representatives. It is also appropriate for other financial service industry professionals interested in a refresher of regulatory concerns regarding suitability.

Course Description

When you make a recommendation as a representative, how do you know that a regulator or arbitrator would agree that it is suitable for that particular client? "Suitable" is a relative term, and when you examine the rules, the requirement is that you have "reasonable grounds" for believing that a recommendation is suitable.

This course looks at the suitability and Know Your Customer rules, helps you determine a client's risk tolerance, and provides you with information about making recommendations. The final lesson looks at different investment products and some of the things you should take into consideration before recommending these products to your clients.

CFP Program ID: 200229     CFP Credit Hours: 1.00

Suitability of Exchange-Traded Products

Course Code: CE_SUTETP


Suitability of Exchange-Traded Products (ETPs) is an advanced course intended for registered representatives and investment adviser representatives, as well as financial service industry professionals interested in the latest developments and regulatory focus of the exchange-traded products market. Because of the advanced level of content in this course, the student should have at least an intermediate level of understanding of ETPs.

Course Description

While they are relatively new investment products, exchange-traded funds and exchange-traded notes (ETNs) continue to gain in popularity. Suitability of Exchange-Traded Products describes how ETPs are formed and how their suitability issues should be addressed. The course delves into leveraged and inverse ETPs, which are more complex and not suitable for all investors. In addition, a case study is provided for students to learn what happens when registered reps pair their clients with unsuitable investments.

CFP Program ID: 234937     CFP Credit Hours: 1.00

Supervising Associated Persons

Course Code: CE_SRAP


Supervising Associated Persons is intended for general securities principals holding the Series 24 license, limited securities principals with the Series 26 license, and anyone else with supervisory responsibilities over persons associated with a broker/dealer.

Course Description

This course is designed to provide an overview of the more common supervisory functions required of broker/dealers. As a supervisor, you may be asked to supervise back-office employees, registered reps, or even other supervisors. This course gives a solid basis for understanding what is required of supervisors, and how their actions can protect clients, registered reps, the firm, and themselves.

Supervising Associated Persons guides you through making the decision to hire, and the process of bringing associated persons on board with your firm. It also provides you with guidance in supervising the day-to-day activities of associated persons, including understanding some of the more common sales practice problems and exception reports. Lastly, good supervisory practices are discussed, including prohibited practices, special supervision, and ways to protect yourself in a supervisory capacity.

CFP Program ID: 234939     CFP Credit Hours: 1.00

Supervising Senior Accounts

Course Code: CE_SSA


Supervising Senior Accounts is an intermediate level course intended for branch managers, supervisors, compliance staff, and compliance administrators interested in best practices for selling to senior citizens.

Course Description

As a supervisor, you must be familiar with the regulatory issues surrounding sales practices for senior clients and how to supervise representatives connected with these activities. This course covers supervising communications aimed at senior clients; how to recognize the unique suitability factors related to senior clients; and how to respond to situations where clients show signs of diminished capacity or elderly financial abuse. An exercise is included to help clarify your firm's policies and procedures regarding these issues.

This course reviews fraudulent and misleading activities discovered during regulatory examinations initiated by the industry's top regulators. Also highlighted are legitimate products and sale practices that can be problematic for seniors.

CFP Program ID: 234940     CFP Credit Hours: 1.00

Supervision and Surveillance

Course Code: CE_SUPSUR


Supervision and Surveillance is intended for branch managers and supervising principals, compliance officers, and others interested in establishing and maintaining account surveillance procedures. Information in this course will help these financial professionals ensure that their member firm is in compliance with all applicable supervisory rules and regulations, and with the regulatory environment in which their firms operate.

Course Description

This course covers FINRA Rule 3110, Supervision (effective December 2014), which applies to supervision and supervisory control systems. It discusses surveillance tools that can help a firm and its supervisory employees stay on the right side of the regulators and provide the best client experience.

The course also provides an overview of responsibilities for creating a compliance system with a risk management process that protects a firm from violations, fines, and fraud. It details ways in which policies, procedures, and reports are used to effectively supervise registered representatives and to create a culture of compliance by identifying patterns and trends that pose a risk to the firm and to clients.

CFP Program ID: 234941     CFP Credit Hours: 1.00

Supervision of Communications

Course Code: CE_SOC


Supervision of Communications is an intermediate level course designed for supervisors and compliance personnel and/or any securities principal responsible for review and approval of communications.

Course Description

The course provides an overview of FINRA Rule 2210, Communications with the Public, including the different categories of communications, the review and approval requirements of each, and the record-keeping requirements. The content standards that apply to communications with the public are discussed, as well as some best practices firms may employ. The course wraps up with some examples of recent disciplinary actions that were the result of violations of FINRA's communications rules.

CFP Program ID: 234942     CFP Credit Hours: 1.00

Supervision of Exchange-Traded Products

Course Code: CE_SETP


Supervision of Exchange-Traded Products (ETPs) is an advanced course intended for supervisors of registered representatives and investment adviser representatives, as well as institutional investors who recommend ETPs.

Course Description

While they are relatively new investment products, exchange-traded funds (ETFs) and exchange-traded notes (ETNs) continue to gain in popularity. Supervision of Exchange-Traded Products explains why regulators have been so focused on these products, and what supervisors should be looking for when reviewing ETP transactions and the employees who recommend them. The course delves into leveraged and inverse ETPs, which are more complex and not suitable for all investors. In addition, a case study is provided for students to learn how other supervisors have failed to effectively supervise the sale of ETPs.

CFP Program ID: 234943     CFP Credit Hours: 1.00

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