This course covers a broad range of issues related to senior investments to help the student learn ways to guide clients through the...
Innovations in the area of electronic communications over the last few decades have altered how people communicate with each other....
This course provides a thorough introduction to FINRA rules and regulations that govern broker/dealers and their associated persons....
Unit Investment Trusts is designed to provide financial professionals with an understanding of the various types of investment...
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...
As published in the Federal Register on January 16, 2009, the Securities and Exchange Commission has formalized its position on what...
This course provides context regarding principal registration under rules 1021 and 1022 and the role of the Chief Compliance officer...
A registered representative devotes many hours to prospecting for new customers and providing service for existing customers. This...
The most significant concerns facing principals charged with supervising variable annuity business is meeting the ever-changing...
This course will examine the regulatory issues affecting (i) sales practices of securities firms and registered representatives in the...
This course covers regulations imposed on advertising and sales literature to ensure all communications with the public adhere to...
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...
Ever since goods and services were first offered to customers, 'specials', 'deals', ' buy one, get one free', and other incentives...
The role of an insurance company and the products it offers is to protect its policy holders against a variety of risks. Insurance...
This course will discuss the regulation of options communications by securities broker-dealers. For presentation purposes, it is...
Public outcry has resulted in the states seeking protection for consumers through legislation. Recently, this effort has been taken to...
This course introduces the FINRA's Interpretive Memo, which is where regulators outline the basis for sound sales practices. You will...
This course introduces the responsibilities and ethics of research analysts in the broker-dealer field. Before the introduction of the...
This course will examine the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank", or the...
The number of FINRA sanctions against registered personnel engaged in outside business activities without their Broker-Dealers'...
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