NRS Course Catalog

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Cybersecurity - Threats and Trends

Course Code: CE_CYBERTT

Audience

Cybersecurity - Threats and Trends is designed financial services professionals who have contact with sensitive customer information or have responsibilities related to the protection of both customer information and/or proprietary firm information. This includes supervisors and those who develop firm policies related to cybersecurity. This course also benefits 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 2015 Report on Cybersecurity Practices, which includes the top cybersecurity threats and suggested preventative measures. The course continues with the SEC’s 2017 Cybersecurity Risk Alert, which details findings from its most recent sweep. 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.

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

Cybersecurity: Risk Management and Supervision

Course Code: CE_CYBERRMS

Audience

Cybersecurity: Risk Management and Supervision is designed for those working in the financial services industry who have responsibilities related to the protection of both customer information and/or proprietary firm information, including supervisors, legal and compliance personnel, as well as those who develop firm policies related to cybersecurity. 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 explores the cybersecurity risk management policies that the regulators expect firms to have in place. 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, eight resources for developing and advancing a firm’s cybersecurity program are laid out. A scenario and examples throughout the course help illustrate the need for a strict cybersecurity program and appropriate cyber supervisory controls.

Deferred Variable Annuities - FINRA Rule 2330

Course Code: CE_DVA

Audience

Deferred Variable Annuities --- FINRA Rule 2330 is an intermediate level course for financial service industry professionals interested in the latest developments in variable annuity sales practice regulations, but is specifically designed for registered representatives, principals who review deferred variable annuity transactions, and sales support staff. It is also a basic overview of Rule 2330 for compliance staff and compliance administrators. This course presumes a basic knowledge of deferred variable annuities.

Course Description

Deferred variable annuities (DVAs) are complex products and may be easily misunderstood by customers. To ensure they are recommended and sold only when suitable, FINRA Rule 2330 outlines the minimum suitability and supervision requirements for their sale, addressing the following areas:

  • Suitability
  • Supervisory principal review and approval
  • Training and education
  • Written supervisory procedures

Rule 2330 requires that various determinations be made before recommending a DVA to a customer. This course details the contents of those determinations and the documentation requirements needed for principal review and approval.

Supervision is also a major component of Rule 2330 and its accompanying supplementary material. Thus, it addresses the requirements regarding:


  • The review of the various determinations
  • The timing of the review
  • The transmittal of checks and applications to insurance carriers

Finally, Rule 2330 addresses the issue of written procedures, training, and surveillance requirements.

CFP Program ID: 200236     CFP Credit Hours: 1.00

Discretionary Trading and Supervision

Course Code: CE_DTS

Audience

Discretionary Trading and Supervision is a basic level course designed for representatives who are given discretionary authority, as well as their supervisors. Others who are interested in the issues surrounding discretionary accounts will find this course informative.

Course Description

This course helps to define what it means for registered reps to have discretionary trading. Lesson 1 discusses the various types of discretionary trading along with their advantages and disadvantages. Lesson 2 takes a look at sales practices that must be followed to a 'T' in discretionary accounts. Lesson 3 offers a supervisory perspective for discretionary accounts, while emphasizing the importance of written authorization and following firms' written supervisory procedures. Case studies and scenarios illustrate how the rules are meant to protect a firm's most valuable asset - its clients.

Distribution of Third Party Research Reports

Course Code: CE_DTPRR

Audience

Distribution of Third-Party Research Reports is designed for registered representatives and their supervisors who distribute third-party or independent third-party research reports.

Course Description

Distribution of Third-Party Research Reports is designed to help representatives identify the various types of research analysts, their motives, as well as their own disclosure and supervision requirements. This course describes the business of research along with its influences and the conflicts that require disclosure.

Students are taught the basic definitions related to the types of research analysts, various types of research reports, and the bare minimum requirements for disclosure. Finally, supervisors learn the approval requirements for the distribution of third-party and independent third-party research reports.

Educational Investments, Credits, and Deductions

Course Code: CE_CSP_TC

Audience

Educational Investments, Credits, and Deductions is an intermediate level course. The individuals who would most benefit from this course are sales representatives, municipal fund securities principals, and advisers who already have a basic understanding of 529 plans.

Course Description

Tax considerations are one of the primary reasons for recommending a 529 plan or similar investment for a client looking to save money for future college expenses. Educational Investments, Credits, and Deductions discusses tax laws and strategies for reducing taxes on both the federal and state level.

Although the course begins with a brief overview of 529 plans, it covers a variety of tax considerations available with other plans and strategies.

CFP Program ID: 237625     CFP Credit Hours: 0.50

Electronic Communications

Course Code: CE_EC

Audience

Electronic Communications is directed to registered representatives and supervisors, as well as those involved in marketing financial services to the public.

Course Description

This course provides a refresher on the standards of communications and reminders of what may and may not be communicated to the public; we also touch on institutional communications, which are not to be made available to the general public. In addition, other important points to keep in mind regarding public communication are listed. An overview of the standard types of electronic communication is also provided, followed by a more in-depth look at each.

The second lesson looks at compliance issues regarding electronic communications, and provides examples of what is and what is not considered a recommendation.

Email Etiquette

Course Code: CE_EE

Audience

This course is appropriate for anyone who uses email to communicate either to colleagues internally or to clients externally. It will discuss the set of rules and conventions that make up the body of email etiquette.

Course Description

Email Etiquette describes the appropriate tone and style of text-based communications. It explains how email can be misconstrued and discusses methods used to avoid the pitfalls of email litigation or regulators' disciplinary actions. In addition, the course indicates various ways to ensure your email appropriately communicates your intended message.

Enhanced Due Diligence

Course Code: CE_EDD

Audience

Enhanced Due Diligence is an intermediate course intended for financial service professionals who routinely deal with opening new accounts, assessing risk management for customers, and monitoring the movement of funds and securities into and out of customer accounts.

Among those who would find this course informative and helpful are compliance administrators, supervisory principals, registered representatives, and operations personnel.

Persons taking this course should already have a strong understanding of the general due diligence and "know your customer" requirements associated with all accounts.

Course Description

Enhanced Due Diligence explains the concept of enhanced due diligence (EDD) above and beyond the general due diligence that should be applied to all accounts, and why it is necessary for a firm to follow its related policies and procedures. It explains how enhanced due diligence applies to your firm's daily operation and why certain accounts with high-risk profiles may require extra scrutiny.

CFP Program ID: 237626     CFP Credit Hours: 0.50

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