Compliance And Workforce E-Learning Solutions

Suitability of Variable and Indexed Annuities

Suitability of Variable and Indexed Annuities

Most variable annuity products distributed today are complex commodities with an abundance of moving parts - indexed annuity products...

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Variable Annuities - Advanced

Variable Annuities - Advanced

This course covers a broad range of issues related to variable annuities to help the student learn ways to guide clients through the...

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Employment Law -> ALL

Employment Law -> ALL

This course covers broad issues on Employment and Labor laws as it applies to Insurance Agencies. It covers issues on pre and post...

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Communication with the Public - Supervisor

Communication with the Public - Supervisor

This course is intended to provide guidance to broker/dealer-compliance and supervisory personnel in understanding regulatory rules and...

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Variable Annuities - General

Variable Annuities - General

This course covers a broad range of issues related to variable annuities to help the student learn ways to guide clients through the...

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Understanding the Regulation of Electronic Communication

Understanding the Regulation of Electronic Communication

Innovations in the area of electronic communications over the last few decades have altered how people communicate with each other. These...

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Asset Allocation

Asset Allocation

With the increasing popularity of do-it-yourself internet investing, the practice of asset allocation will continue to set the abilities...

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Investments: International Securities

Investments: International Securities

This course covers the risks and rewards faced by investors who chose to invest internationally. When one invests in companies outside of...

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Ethics for Financial Professionals - Basic

Ethics for Financial Professionals - Basic

This course covers the basic concept of ethics with a detailed definition and what it entails. We will discuss the role of ethics in our...

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Deferred Compensation Plans

Deferred Compensation Plans

Finding and training qualified employees is an expensive endeavor. Employers want to attract, motivate and retain key employees, but want...

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Understanding Research Analysts' Recommendations

Understanding Research Analysts' Recommendations

This mini session is designed to assist in the understanding of the Research Analyst's reports, the effect of the reports on the industry...

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Compliance: Regulation S-P - Supervisory

Compliance: Regulation S-P - Supervisory

FINRA members are required to maintain policies and procedures that address the protection of customer information and records. Among...

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Seniors and Variable Annuities

Seniors and Variable Annuities

Americans are retiring at a record pace. In fact, in the next 20 years, millions of Americans will be turning 60. And, according to...

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Understanding the Rules of FINRA

Understanding the Rules of FINRA

This course provides a thorough introduction to FINRA rules and regulations that govern broker/dealers andtheir associated persons. Among...

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Evaluating Financial Performance

Evaluating Financial Performance

This course provides a basic understanding of how to use ratio analysis for evaluating financial performance. It discusses the scope,...

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Private Placement Securities - Supervisor

Private Placement Securities - Supervisor

The private placement of securities involves the offer and sale of a security not involving a public offering. Under the 1933 Securities...

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Gifts, Gratuities and Regulation (Interactive)

Gifts, Gratuities and Regulation (Interactive)

Ever since goods and services were first offered to customers, 'specials', 'deals', ' buy one, get one free', and other incentives...

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FACT Act - Supervisory

FACT Act - Supervisory

This course gives a comprehensive review of the Red Flags Rule by providing detail on how to develop, implement, and administer a written...

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Gramm-Leach-Bliley Act

Gramm-Leach-Bliley Act

This course covers a broad range of issues related to the Gramm-Leach-Bliley Act (GLBA) to help the student learn ways to guide...

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Proactive Supervision

Proactive Supervision

Recent business and financial scandals indicate that the issue of internal controls and employee supervision are essential not only to...

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