HR, Ethics & Compliance > Banking & Financial Compliance > FINRA Compliance

Red Flags for Seniors (Interactive)

Red Flags for Seniors (Interactive)

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

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Understanding the Regulation of Electronic Communication (Interactive)

Understanding the Regulation of Electronic Communication (Interactive)

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

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Understanding the Rules of FINRA (Interactive)

Understanding the Rules of FINRA (Interactive)

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

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Unit Investment Trusts (Interactive)

Unit Investment Trusts (Interactive)

Unit Investment Trusts is designed to provide financial professionals with an understanding of the various types of investment...

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Private Placement Securities - Advanced

Private Placement Securities - Advanced

The term 'private placement' as used in this material refers to the offer and sale of any security by a brokerage firm not involving a...

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Coping with SEC Rule 151A

Coping with SEC Rule 151A

As published in the Federal Register on January 16, 2009, the Securities and Exchange Commission has formalized its position on what...

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Advanced Supervision (Interactive)

Advanced Supervision (Interactive)

This course provides context regarding principal registration under rules 1021 and 1022 and the role of the Chief Compliance officer...

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FINRA Communication Standards

FINRA Communication Standards

A registered representative devotes many hours to prospecting for new customers and providing service for existing customers. This...

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Variable Annuities for Supervisors (Interactive)

Variable Annuities for Supervisors (Interactive)

The most significant concerns facing principals charged with supervising variable annuity business is meeting the ever-changing...

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Municipal Securities: Sales Practices and Supervisory Requirements (Interactive)

Municipal Securities: Sales Practices and Supervisory Requirements (Interactive)

This course will examine the regulatory issues affecting (i) sales practices of securities firms and registered representatives in the...

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Institutional Communication and Advertising

Institutional Communication and Advertising

This course covers regulations imposed on advertising and sales literature to ensure all communications with the public adhere to...

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The SEC's Books and Records Requirements - The Basics

The SEC's Books and Records Requirements - The Basics

The SEC books and records regulations are primarily found as Rule 17 a-3 and Rule 17 a-4. Rule 17 a-3 describes what records must be...

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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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Variable Annuities: Advanced (Interactive)

Variable Annuities: Advanced (Interactive)

The role of an insurance company and the products it offers is to protect its policy holders against a variety of risks. Insurance...

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Options Communications Rules (Interactive)

Options Communications Rules (Interactive)

This course will discuss the regulation of options communications by securities broker-dealers. For presentation purposes, it is...

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Do Not Call & the Securities Industry

Do Not Call & the Securities Industry

Public outcry has resulted in the states seeking protection for consumers through legislation. Recently, this effort has been taken to...

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Brokerage, Mutual Fund and Variable Product Sales Practices (Interactive)

Brokerage, Mutual Fund and Variable Product Sales Practices (Interactive)

This course introduces the FINRA's Interpretive Memo, which is where regulators outline the basis for sound sales practices. You will...

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Introduction to Research Analysts: Rule 2711 and Professional Responsibility (Interactive)

Introduction to Research Analysts: Rule 2711 and Professional Responsibility (Interactive)

This course introduces the responsibilities and ethics of research analysts in the broker-dealer field. Before the introduction of the...

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The Dodd-Frank Wall Street Reform and Consumer Protection Act (Interactive)

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Interactive)

This course will examine the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank", or the...

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Outside Business Activities (Interactive)

Outside Business Activities (Interactive)

The number of FINRA sanctions against registered personnel engaged in outside business activities without their Broker-Dealers'...

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