NRS Course Catalog

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Showing results 71-80 of 175.

Gifts and Entertainment

Course Code: CE_GFT_ENT

Audience

Gifts & Entertainment is an informational course designed for compliance administrators, managers, registered representatives, investment adviser representatives, municipal securities professionals, institutional representatives, underwriters, wholesalers, and others who may be interested in the regulatory issues involved in business gifts and entertainment.

Course Description

Registered reps 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 with making a profit and meeting client objectives. Using case studies, the student will be able to understand how regulatory expectations apply to normal activities.

CFP Program ID: 237627     CFP Credit Hours: 0.50

Guide to Protecting Client Information

Course Code: CE_GPCI

Audience

Guide to Protecting Client Information is intended for anyone working in the financial services industry. Individuals who may benefit the most from this course include registered representatives, investment advisers, their supervisors, operations and sales support staff, and employees with access to client records and information.

Course Description

Guide to Protecting Client Information examines methods used by identity thieves and hackers to steal clients' private information. Lesson 1 gives an overview of these techniques, including pretexting, phishing, Trojan horses, using public Wi-Fi connections, among others. This information helps financial services professionals identify scams before client information is compromised.

Lesson 2 gives insight into the 2003 FACT Act and its Red Flags Rule, and goes on to explore the 1999 Gramm-Leach-Bliley Act and its Safeguard Rule. We explain how these rules impact the daily operation of a financial services firm, and what firms must do to comply with these rules. The lesson lists many measures firms may take to safeguard client data, and looks at situations in which the sharing of this data is allowed.

CFP Program ID: 200234     CFP Credit Hours: 1.00

Hedge Funds

Course Code: CE_HF

Audience

This course is intended for registered representatives, investment adviser representatives, and other investment professionals who are interested in hedge funds or funds of hedge funds.

Course Description

Hedge funds can be one of the financial industry's most stimulating, challenging, and rewarding investment products. Financial services professionals who deal in these products, however, should understand them thoroughly before recommending them to clients.

This course provides a well-rounded look into the world of hedge funds including a brief history and some of the strategies employed by hedge fund managers. Recent regulatory changes are explored, as is the rationale for these changes. We also look at the fees charged by hedge funds, and the required disclosures that must be made to clients. The final lesson delves into recent regulatory actions taken against hedge funds so that financial services professionals and their clients are prepared to avoid the same pitfalls.

CFP Program ID: 234871     CFP Credit Hours: 1.00

High Risk Brokers and Heightened Supervision

Course Code: CE_HRBHS

Audience

High-Risk Brokers and Heightened Supervision is an intermediate level course intended for securities supervisors, branch managers, and compliance personnel tasked with hiring or investigating high-risk registered representative candidates who are seeking to secure a job with a FINRA member broker/dealer.

Course Description

High-Risk Brokers and Heightened Supervision explains the requirements and best practices for hiring high-risk registered representatives. The course guides you through various considerations that should be analyzed before the decision is made to hire or not to hire a high-risk securities professional. It also reveals the techniques used by other securities supervisors to screen candidates and locate those individuals who are more likely to be successful. Other important factors are highlighted, including registration, training, and supervisory considerations and processes that should be in place when hiring and supervising high-risk brokers. The course ends with a detailed look at FINRA’s High-Risk Broker initiative.

Hiring Successful Securities Professionals

Course Code: CE_HSSP

Audience

Hiring Successful Securities Professionals is intended for securities supervisors, branch managers, and compliance personnel tasked with hiring or investigating candidates who are seeking to secure a job as associated persons of a FINRA member broker/dealer.

Course Description

Hiring Successful Securities Professionals guides you through various considerations that should be analyzed before making the decision to hire or not to hire a securities professional. This course reveals the techniques used by other securities supervisors to screen candidates and locate those individuals who are more likely to be successful.

Also discussed is how to analyze information provided by a candidate and other resources that should be utilized during a new hire investigation. This course describes how an initial interview can help ensure success and prevent failure, and offers recommendations on how to analyze a candidate's history.

Finally, the student will learn the required on-boarding filing and registration requirements for new representatives and other associated persons.

CFP Program ID: 234875     CFP Credit Hours: 1.00

IA - Cybersecurity

Course Code: CE_IACYBER

Audience

IA - Cybersecurity is designed for those working at investment adviser firms who have responsibilities related to the protection of both customer information and/or proprietary firm information - supervisors, legal, compliance and IT 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 and procedures that regulators expect firms to have in place. Best practices for employees who create cybersecurity plans and the employees who are impacted by them are described. Finally, 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.

Identity Theft - FACT Act

Course Code: CE_IDFACT

Audience

Identity Theft --- FACT Act is designed for those working in the financial services industry who have contact with sensitive customer information. This course is beneficial for all firms required to comply with the SEC's FACT Act Identity Theft Rules.

Course Description

Identity Theft --- FACT Act is a useful tool in fulfilling a firm's training requirements prescribed for Firm Element Continuing Education as well as the FACT Act Red Flag training required by the Securities and Exchange Commission (SEC). This course examines the primary rules that protect customer information and the role that employees play in identifying identity theft red flags. Real-life case studies help illustrate the importance of following an identity theft identification program. Finally, the course covers various methods used by hackers who steal customer identities.

CFP Program ID: 234876     CFP Credit Hours: 1.00

Impact of Market Events on Variable Products

Course Code: CE_IMEVP

Audience

Impact of Market Events on Variable Products is an intermediate level course designed for registered representatives and their supervisors involved in the recommendation and sale of variable products. The course assumes that students possess a basic understanding of variable insurance product suitability requirements and exchanges. The purpose of this course is to enable the properly-appointed and insurance-licensed registered representative to explain the role of risk in market events and the effect of such market events on the performance of variable products.

Course Description

Variable products are hybrids of insurance and securities whose premiums and cash value can be allocated to the insurer's separate account by the policy owner or contract owner. Because premiums and cash value allocated to the insurer's separate account are invested in one or more variable subaccount investment portfolio(s), the products are subject to the full spectrum of market or performance risks.

The two products covered in Impact of Market Events on Variable Products are variable annuities (VA) and variable life (VL) insurance. To help familiarize you with the information your customers need to know when considering the purchase of a VA or VL insurance product, this course outlines the risk types, the effects of each risk type on each type of variable product, and applicable case studies. This course assumes that the student understands the basics of variable products and the determinations required for suitability.

This course provides:
  • Basic information concerning the types of performance risks specific to variable insurance products
  • Information concerning the effects of risk and market events on the performance of VL insurance and VAs
  • The tools you need to help customers understand variable products and answer questions

CFP Program ID: 200233     CFP Credit Hours: 1.00

Information Barriers

Course Code: CE_IB_SR

Audience

Information Barriers is directed toward those in the financial services industry who structure deals such as mergers and acquisitions, as well as other employees --- stock analysts and researchers, investment bankers, accountants, and attorneys --- who work with material, nonpublic, and confidential information. Employees working with such information, whether it originates from within the firm or from a client, are subject to various information barrier procedures intended to restrict information to only those who "need to know."

Course Description

This course focuses on information barriers, commonly known as Chinese walls. Information barriers, insiders, and inside information are defined and the elements used in forming barriers are listed. Information Barriers discusses situations when outsiders are allowed access to inside information, and what happens when individuals trade on nonpublic, material information. The course also provides a recent case study involving a professional sports gambler, a pro golfer, and a corporate insider.

CFP Program ID: 237628     CFP Credit Hours: 0.50

Insider Trading

Course Code: CE_INSIDE_TR

Audience

Insider Trading is directed to registered representatives, sales associates, compliance administrators, and new account managers.

Course Description

Insider Trading defines inside information and insiders, and lists ways in which inside information is made public. The current regulatory environment of insider trading is reviewed, as well as the actions taken by regulators to curb illegal activity. Legal insider trading for insiders is also reviewed. Finally, recent cases illustrate that even if not convicted of insider trading, the expense, uncertainty, and potential impact of one's reputation and career makes such conduct a waste of one's talents and energy.

CFP Program ID: 237629     CFP Credit Hours: 0.50

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