Best of 2019: Our “Top 10” Firm Element Courses

With over 450 courses in our Firm Element catalog, it’s safe to say that we offer no shortage of continuing education content. But have you ever been curious about which of our courses are most popular among firms today? In this article, we pull back the curtain by featuring our top 10 most delivered Firm Element courses in 2019, thus far.

As always, we want to remind firms that they should consider their size, structure, and scope of business, as well as any regulatory developments before implementing their Firm Element program. Courses outlined in this article are not to be taken as recommendations. A comprehensive Needs Analysis is required.

 

Anti-Money Laundering and the Red Flag Rule

Course ID: 10684
Number of Slides: 41
Est Time of Completion: 20 Minutes
Version: Interactive

Description: This course is designed for registered representatives, supervisors, and institutional sales representatives. The objective of this course is to raise the awareness of anti-money laundering regulations so that representatives have the knowledge to prevent and detect money laundering. This knowledge will help ensure that each representative and their employer do not become involved in investigations or scandals that could harm the company’s reputation or risk client relationships. After completing this course, representatives will have a better understanding of anti-money laundering regulations, including the Know Your Customer rule, as well as be able to better recognize suspicious activities to protect themselves from the consequences of being linked in any way to money-laundering activities.

Course Catalog

 

Anti-Money Laundering for Financial Services Professionals

Course ID: 9897
Number of Slides: 69
Est Time of Completion: 35 Minutes
Version: Interactive

Description: This course is intended for retail representatives, investment advisors, supervisors or any financial service industry professional interested in learning about industry rules and regulations regarding anti-money laundering. This course will examine anti-money laundering regulation in the broker-dealer industry, specifically focusing on the USA PATRIOT Act of 2001 and FINRA Rule 3011.

Course Catalog

Cybersecurity & FINRA

Course ID: 9907
Number of Slides: 32
Est Time of Completion: 30 Minutes
Version: Interactive

Description: This course examines various targets and types of cyber-attacks, their threat to the financial industry, disclosure requirements for FINRA registered firms, regulatory measures to prevent cybercrimes and practical steps toward cybersecurity. It also discusses recent FINRA guidance, including the presence of cybersecurity in the Regulatory and Examinations Priorities Letter, the Report on Cybersecurity Practices, and Investor Alerts warning investors about cyber-threats. Practical advice for representatives on steps to reduce risk will be discussed, as well as the consequences to firms for failing to protect against cybersecurity threats.

Course Catalog

Anti-Money Laundering Regulations and Ramifications

Course ID: 10687
Number of Slides: 39
Est Time of Completion: 30 Minutes
Version: Interactive

Description: This course is intended for retail representatives, investment advisors, supervisors or any financial service industry professional interested in learning about industry rules and regulations regarding anti-money laundering.  The course discusses “red flags” that may indicate potential money laundering activities, as well as the penalties that can be imposed for violating federal money laundering laws. This course will outline federal legislation, enhanced customer identification and suspicious activity indicators to consider. 

Course Catalog

Annual Compliance Reminders for Institutional Registered Representatives – Vol. 1

Course ID: 10068
Number of Slides: 31
Est Time of Completion: 20 Minutes
Version: Interactive

Description: This course uses facts from actual cases to help learners’ understand compliance obligations and recognize the possible consequences of failing to comply with regulatory and firm requirements. Course topics include outside business activities, private securities transactions, U4 disclosure trade authorization and much more.

Course Catalog

Anti-Money Laundering for Broker-Dealers

Course ID:9892
Number of Slides: 43
Est Time of Completion: 30 Minutes
Version: Interactive

Description: This course is intended for retail representatives, investment advisors, supervisors or any financial service industry professional interested in learning about industry rules and regulations regarding anti-money laundering. The objective of this course is to introduce broker-dealer employees to the federal laws and regulations that apply to money laundering, record keeping, and reporting. The course discusses some “red flags” that may indicate potential money laundering activities, as well as the penalties that can be imposed for violating federal money laundering laws.

Course Catalog

Life Settlements

Course ID: 2094
Number of Slides: 29
Est Time of Completion: 15 Minutes
Version: Interactive

Description: This course is intended for representatives and supervisors that sell life insurance/life settlement policies and want to increase their knowledge about insurance, taxes, and investment risks. With the advent of the secondary market, today’s life insurance owners have a number of options for the disposition of their life insurance policies when their needs change. This course explores the settlements that comprise the secondary market for life insurance policies. It examines the markets, prospects, process taxation, regulation and the market conduct issues associated with these arrangements. The course also discusses stranger-originated life insurance (STOLI) transactions and the steps the industry is taking to curb abuses in this market.

Anti-Money Laundering: Review, Everyday Scenarios, and Enforcement Cases

Course ID: 9873
Number of Slides: 32
Est Time of Completion: 20 Minutes
Version: Interactive

Description: This course provides a brief refresher overview of AML programs before focusing on examples of real-world scenarios representatives may encounter in their interactions with customers and prospective customers. The course continues its emphasis on real life application by presenting summaries of actual recent enforcement cases.

Course Catalog

Outside Business Activities and Private Securities Transactions – Vol. 2

Course ID: 9886
Number of Slides: 24
Est Time of Completion: 20 Minutes
Version: Interactive

Description: This course provides an overview of the restrictions and disclosure requirements surrounding registered representatives’ business activities and private securities transactions, outside the scope of their employment. It focuses on the necessity for registered representatives to follow the regulations and firm policies that surround these activities, regardless of compensation, and to disclose those activities on their Form U4.

Course Catalog

Anti-Money Laundering for Home Office Personnel

Course ID: 10693
Number of Slides: 37
Est Time of Completion: 30 Minutes
Version: Interactive

Description: This course is intended for home office personnel, retail representatives, investment advisors, supervisors, or any financial service industry professional interested in learning about industry rules and regulations regarding anti-money laundering. The objective of this course is to introduce home office employees to the federal laws and regulations that apply to money laundering, record keeping, and reporting.

Course Catalog