NRS Course Catalog

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Showing results 171-175 of 175.

Whistleblower Provisions Under The Dodd Frank Act

Course Code: CE_WPUTDFA

Audience

Whistleblower Provisions Under the Dodd-Frank Act is a basic level course suited for all employees of any securities related firm, or the employees of any publicly traded corporation. This course would also be appropriate for any legal counsel interested in the Whistleblower rules and process.

Course Description

Whistleblower Provisions Under the Dodd-Frank Act details the rules created in response to the Dodd-Frank Act, which provides a safe and anonymous way for employees to report fraudulent behavior. Also discussed is the SEC’s Whistleblower program that rewards whistleblowers for reporting original and material tips that lead to successful sanctions in excess of $1 million. Students will learn about how to report an original tip, whistleblower eligibility guidelines, anti-retaliation protections, and how the Dodd-Frank whistleblower provisions differ from the Sarbanes Oxley provisions. Lesson 2 is a detailed account of the whistleblower award process and the timing of activities that must take place from the time the tip is reported, until the time the whistleblower award is paid.

Wholesaler Communications

Course Code: CE_WC

Audience

Wholesaler Communications is an intermediate level course specifically designed for wholesalers, their supervisors, and their sales support staff. It is also appropriate for other financial service industry professionals interested in the sales practices and responsibilities of wholesalers.

Course Description

Wholesaler Communications provides an overview of wholesaler roles and how wholesalers communicate with clients and registered representatives. Wholesalers have the responsibility to understand regulatory rules regarding communications, since the information they provide to registered reps must be in compliance with these rules. The course also discusses the rules and related review and approval processes regarding these forms of communication.

Additionally, the course delves into the supervision required for the different types of communications, and lists the standards of communication as set by the regulators. Lesson 4 also provides real-life case studies to underscore the importance of following the regulators' communication and supervisory rules.

Wholesaler Responsibilities

Course Code: CE_WR

Audience

Wholesaler Responsibilities is an introductory level course specifically designed for wholesalers. It is also appropriate for other financial service industry professionals interested in the sales practices and responsibilities of wholesalers.

Course Description

This course provides an overview of wholesaler roles, and how wholesalers help registered reps perform their jobs. We look at the different means of communicating with the public and the regulatory requirements surrounding each. The rules and regulations that affect giving gifts and providing entertainment are also highlighted. In the final lesson, we look at activities that should be avoided and what can happen when a wholesaler doesn't play by the rules.

Wholesalers - Gifts and Entertainment

Course Code: CE_WGE

Audience

Wholesalers - Gifts and Entertainment is an informational course designed for wholesalers, their supervisors, and others who may be interested in the regulatory issues involved in business gifts and entertainment.

Course Description

Wholesalers, in particular, use gifts, entertainment, and non-cash compensation to drive business. This course describes applicable rules, exemptions, and reporting requirements to explain how to avoid conflicts when making a profit while meeting client objectives. Using case studies as examples, the student will be able to understand how regulatory expectations apply to normal activities.

Wrap Fee Accounts

Course Code: CE_WFA

Audience

Investment advisers, investment adviser representatives, and registered representatives who are considering using wrap fee accounts for their clients will find this course informative. Those who supervise these persons, such as branch managers and legal and compliance personnel will also find this course beneficial.

Course Description

Since more investors are turning to managed accounts, it is important for financial services professionals to understand the nuts and bolts of this type of investing and these types of programs. This course will provide an overview of how wrap fee programs operate as well as practical guidance for advisers to address certain aspects of wrap fee programs that have been a focus of the SEC in recent years. The difference in the types of wrap fee programs are described as well necessary elements included in advisory contracts. The forms that investment advisers are required to give to wrap fee account clients and file with regulators are listed, including Form ADV, and the types of fees associated with these accounts are examined. Finally, a detailed summary the SEC’s recent focus on wrap fee accounts will be given along with some recent regulatory case studies.

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