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Corporate Debt I: Introduction to Corporate Debt Instruments

Course Code: CE_CD1

Audience

Corporate Debt I is an introductory course intended for registered representatives who solicit sales in corporate debt securities for their firms. This course is also beneficial for individuals desiring to obtain a general understanding about the corporate bond market.

Course Description

Corporate Debt I: Introduction to Corporate Debt Instruments describes two types of debt securities issued by corporations - short-term and long-term debt securities. It begins with an introduction to debt securities, and then explores short-term debt issues with a look at the difference between corporate issues and those issued by the U.S. government. Also discussed are long-term debt securities issued by corporations, including descriptions of the various ratings, the rating agencies that evaluate the corporations, and the impact of such ratings.

Corporate Debt II: Their Features

Course Code: CE_CDII

Audience

Corporate Debt II is an informational course intended for registered representatives who solicit sales in corporate debt securities or who are involved in corporate bond underwriting. This course is also beneficial for persons desiring a general understanding about the types of bonds available.

Course Description

Corporate Debt II is the second in a five-part series about debt securities. This course describes specific features of bonds used by corporations and how they meet specific investment objectives of the investor. This includes put and callable bonds, call and refund restrictions, convertible bonds, floating rate notes, and zero-coupon bonds.

Corporate Debt III: The Underwriting Process

Course Code: CE_CDIII

Audience

Corporate Debt III: The Underwriting Process is for registered representatives who are engaged in soliciting sales to the public or in any other underwriting activities for corporate debt securities by their firm. It provides basic information for those initially starting out in this line of business or for those desiring a refresher of the basics.

Course Description

Corporate Debt III: The Underwriting Process is designed to help you become familiar with the process of bringing new corporate issues to market. The course provides you with definition terms associated with underwriting, including investment banker, syndicate member, selling group member, and others. In addition, the course discusses registration of the issue, meetings that take place, documents to sign, and the process of pricing the issue.

Corporate Debt IV: Ratings, Pricing and Yields

Course Code: CE_CD4

Audience

The Corporate Debt IV: Rating, Price, and Yields course is an informational course on corporate bonds for those registered representatives who solicit customers in the sale of corporate debt securities. This course is appropriate for those in retail sales and in corporate bond underwriting.

Course Description

This course delves into more detail about ratings for corporate bonds and their influence on bond pricing and yields. The course gives a brief history of ratings by Moody's and Standard and Poor's (S&P's). The course continues into pricing and quotes of corporate bonds, and finally discusses the three yields for a bond: Nominal yield, current yield, and yield-to-maturity.

Corporate Debt V: Risk & Investment Strategies

Course Code: CE_CD5

Audience

Corporate Debt V is intended for registered representatives who solicit customers in the sale of corporate debt securities. This course is appropriate for those in retail sales and corporate bond underwriting.

Course Description

The course is the last in a series on Corporate Debt. The previous four courses covered types of debt securities, their features, the underwriting process, the impact of ratings assigned by major rating agencies, and the effect on prices and yields. This course focuses on two main topics - common risks associated with investing in corporate bonds and generally known investment strategies. These two areas can help support an investor's evaluation of whether the product can meet stated investment objectives.

Creating a Culture of Compliance

Course Code: CE_CC

Audience

This course is a basic to intermediate level course designed for all supervisors, registered representatives, investment adviser representatives, supervisors, sales support and operations staff, and individuals working in a firm's compliance and legal departments. Anyone who is interested in ensuring a business environment in which compliance with industry rules and regulations is a priority will find this course informative.

Course Description

Creating a Culture of Compliance describes what a firm and its associates can do to build a business with integrity that complies with regulatory rules. Lesson 1 begins with FINRA's understanding of how a culture of compliance is established and maintained, and what FINRA is looking for when it examines a firm's cultural values. The lesson also discusses a 'top down' compliance policy that emphasizes following policies and procedures with strong supervisory support. Lesson 2 focuses on ethical behavior and attitudes, starting with hiring associates with a solid record of compliance, having high professional standards, and dealing with customers honestly and fairly. Lesson 3 is an overview of the conduct rules that, if followed, help create a culture of compliance.

Customer Complaint Handling for Front-Line Sales Personnel

Course Code: CE_CCHFSP

Audience

Customer Complaints for Front-Line Sales Personnel is intended for all individuals associated with a FINRA member firm — registered representatives, investment adviser representatives, institutional sales representatives, staff members who support the sales staff, as well as supervisors. This course would also be beneficial for compliance professionals and management level officers.

Course Description

Customer Complaints for Front-Line Sales Personnel is designed to raise awareness of various aspects of customer complaints while offering tools to help reduce the risk of receiving a customer complaint.

This course addresses various aspects of handling unhappy customers, including helping them resolve issues before they become written complaints.

Awareness of industry trends illustrated in this course should prompt sales personnel to review their own relationships with customers in an effort to avoid the most common types of complaints.

Customer Identification Programs

Course Code: CE_CIP

Audience

This course is directed to financial service professionals involved in the handling of new customer accounts. Among those who will find this course informative are new accounts personnel, compliance administrators, supervisory principals, and registered representatives.

Course Description

This course explains the Customer Identification Program (CIP), Section 326 of the USA PATRIOT Act, how the U.S. Treasury Department implements it, and why it is vital for the financial services industry. It describes CIP concepts and how they apply to your firm's daily operation. Most firms already have policies and procedures in place that meet or exceed the requirements of the USA PATRIOT Act; this course discusses your role in the process, and how compliance with your firm's CIP protects you, your firm, and your firm's customer assets.

Cybersecurity for Firms

Course Code: CE_CYBER

Audience

Cybersecurity for Firms is designed for those working in the financial services industry who have contact with sensitive customer information or have responsibilities related to the protection of both customer information and/or proprietary firm information. This course is beneficial for all associated persons who wish to learn more about how to protect this information from misuse and illegal activity.

Course Description

This course describes the importance of a cybersecurity program, beginning with FINRA's perspective from its 2014 cybersecurity sweep and subsequent Report on Cybersecurity Practices, which includes the top three cybersecurity threats. The course explores the tactics used to hack into a firm's systems and ways that firms and employees can prevent these breaches. Best practices for employees who handle confidential and sensitive information are discussed, and examples are given for the specific information that must be protected. Finally, FINRA's eight resources for developing and advancing a firm's cybersecurity program are laid out. Case studies and examples throughout the course help illustrate the need for a strict cybersecurity program.

Cybersecurity for Representatives and Clients

Course Code: CE_CYBERRC

Audience

Cybersecurity for Representatives and Clients is designed for those working in the financial services industry who have contact with sensitive customer information or have responsibilities related to the protection of both customer information and/or proprietary firm information. This course is beneficial for all associated persons who wish to learn more about how to protect this information from misuse and illegal activity, and how to educate clients on protecting their financial information.

Course Description

This course describes the importance of a cybersecurity program, the tactics used to hack into a firm's systems, and ways that representatives and their clients can prevent these breaches. Best practices for employees who handle confidential and sensitive information are discussed, and examples are given for the specific information that must be protected. Finally, the course describes FINRA's recent focus on specific aspects of cybersecurity such as cloud storage, crowdfunding, and customer account protection.

CFP Program ID: 234855     CFP Credit Hours: 1.00

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