NRS Course Catalog

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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

Equity Security Recommendations

Course Code: CE_ESR

Audience

Equity Security Recommendations is a beginner to intermediate level course designed for registered representatives. It is also appropriate for other financial service industry professionals interested in a refresher of regulatory concerns regarding equity recommendations.

Course Description

Equity Security Recommendations gives a comprehensive overview of the major factors reps must consider when making recommendations in equity securities and strategies. The course begins by discussing how the regulators define "recommendation," the many ways a recommendation can be delivered, and the difference between implicit and explicit recommendations. Lesson 2 delves into "Suitability" and "Know Your Customer" Rules, while Lesson 3 explores sales practices and supervising the activities associated with recommendations. The final lesson discusses two popular methods that are used to analyze equities.

CFP Program ID: 234856     CFP Credit Hours: 1.00

ERISA and The Fiduciary Standard

Course Code: CE_EFS

Audience

ERISA & the Fiduciary Standard is an intermediate course intended for retail and investment adviser representatives, as well as any financial service industry professional interested in learning about ERISA's fiduciary status and the important new regulations surrounding this topic.

Course Description

ERISA & the Fiduciary Standard explores how the rules that mandate who is a fiduciary under ERISA have been significantly changed. Through this course, students will learn what it means to be a fiduciary in the eyes of ERISA and the Department of Labor. The top responsibilities of fiduciaries are listed, as well as an overview of actions that are prohibited and which could result in disciplinary actions. Lesson 2 explains the rule changes that will greatly affect broker/dealers and their registered representatives.

The course discusses the current regulatory focus on ERISA retirement plans and IRAs and what firms and reps should do to stay in compliance with the new rules and avoid conflicts of interest which could result in personal liability.

CFP Program ID: 234862     CFP Credit Hours: 1.00

Estate Planning

Course Code: CE_ESTP

Audience

Estate Planning is an intermediate level course intended for registered representatives, supervisors, compliance staff, and compliance administrators interested in the topic of estate planning.

Course Description

Estate Planning will help representatives, their supervisors, and any financial services industry professionals learn how to better assist clients with this important task. While sometimes difficult to discuss, a well-conceived estate plan is critical to long-term financial success for families. This course outlines the necessary information to gather from clients to help educate them about their estate planning options.

Topics such as financial powers of attorney, health care powers of attorney, life insurance, health care directives, and living wills, which set forth a client's wishes regarding medical decisions, are discussed. In addition, asset distribution upon the client's death and beneficiary designations are highlighted. Finally, taxation issues and how the appropriate plans and investment vehicles can help maximize an estate's value are reviewed. Students who complete Estate Planning will be in a better position to help their clients develop, review, and execute basic estate planning.

CFP Program ID: 234864     CFP Credit Hours: 1.00

Ethics and Non-Cash Compensation

Course Code: CE_ETHICS_NCC

Audience

This course is well suited for registered representatives acting as agents for broker/dealers and their supervisors, as well as wholesale representatives and investment adviser representatives.

Course Description

Ethics and Non-Cash Compensation focuses on ethics or ethical behavior and how it fits into the moral framework of industry rules. It explores both unethical practices and ethical best practices for registered representatives and outlines the required ethical standards for non-cash compensation.

The final lesson of the course touches on professional behavior and attitudes and the impact they have on the integrity of the securities profession.

Ethics for Futures Reps

Course Code: CE_EFR

Audience

Considering the constantly changing industry rules and standards, firms must make employees aware of the best behaviors for given situations that fully comply with industry rules and standards of ethical behavior. This course is appropriate for futures representatives who must be aware of how to uphold such rules and standards.

Course Description

Pursuant to the National Futures Association's Compliance Rule 2-9, which requires annual training in ethics, Ethics for Future Reps discusses ethical issues through case studies that portray the ethical decisions that should be made under given circumstances.

While the type of customers that invest in futures varies, the basic concepts of customer service and placing the interests of the customer first should always prevail. A firm's culture with respect to ethics is critically important in order that firms provide exceptional customer service and build a strong business around serving the needs of its customers.

Considering the constantly changing industry rules and standards, firms must make employees aware of the best behaviors for given situations that fully comply with industry rules and standards of ethical behavior. This course is appropriate for futures representatives who must be aware of how to uphold such rules and standards.

Ethics for Institutional Representatives

Course Code: CE_ETH_INSTITUTIONAL

Audience

This course is intended for registered representatives servicing institutional clients, their supervisors, and those who support the reps.

Course Description

The financial services industry is one of the most highly-regulated industries in the world. Countless governmental bodies and self-regulatory agencies have issued volumes of rules and regulations that give specific guidelines for conducting business. However, there are times when choosing which direction to take cannot be found in the rulebooks. At times, individuals must rely on their own sense of right versus wrong, or make a choice between the lesser of two evils. This is where a person's ethics come into play. As a registered representative conducting business with institutional clients, many people look up to you, both inside and outside the industry. The actions you take are examples for other reps who hope to one day find themselves in your position.

This course looks at the motivations behind ethical and unethical actions, some of which are also prohibited. It also describes the principles and models detailed in the International Organization of Securities Commissions Self-Regulatory Consultative Committee's report on a code of ethics.

Ethics for Research Analysts

Course Code: CE_ERA

Audience

This course is intended for research analysts, their supervisors, and managers.

Course Description

Securities research analysts came under tighter scrutiny due to a number of scandals in the late 1990s and early 2000s. Ethics for Research Analysts begins by examining the nature of ethics, how easy it is to justify unethical behavior, and steps that can be taken to help avoid it. The course moves on to rules instituted to prevent fraudulent activities, how to avoid conflicts of interest, the importance of information barriers, and how to evaluate if a firm's research is objective. The final lesson in the course discusses research analyst communications and how they may be affected by the JOBS Act.

Ethics for Wholesalers

Course Code: CE_ETHICS_W

Audience

Ethics for Wholesalers is an introductory 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 ethical issues surrounding the sales practices and responsibilities of wholesalers.

Course Description

This course provides an overview of wholesaler roles, how wholesalers help registered reps perform their jobs, and how ethical dilemmas may arise and be resolved in the execution of this role. The course outlines activities that should be avoided and what can happen when a wholesaler makes unethical choices. We look at the different means of communicating with the public and the regulatory requirements surrounding each, as well conflicts of interest and appropriate disclosures. Finally, the rules and regulations that affect giving gifts and providing entertainment are also discussed.

Ethics General

Course Code: CE_ETH

Audience

This course is well suited for registered representatives of securities broker/dealers, investment advisers and their representatives, back office operations personnel, executive management personnel, as well as supervisors and support staff.

Course Description

This course focuses on ethics and ethical behavior in the securities industry. Lesson 1 differentiates between ethics and morals and offers possible motivations for "white collar" crime. In addition, the course offers steps to take when one is struggling with an ethical dilemma. Lesson 2 identifies ethical best practices for registered representatives, including the ethical standards that must be followed when interacting with customers.

The final lesson of the course touches on professional behavior and attitudes and the impact they have on the integrity of the securities profession. Recent case studies are presented throughout to emphasize the course material.

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