Top 10 Firm Element Courses from 2019

What better way to jump into a new compliance year then by recapping our top ten Firm Element courses from 2019? In this article, we’ll share which of our 450+ e-learning courses were most popular among firms, based on sheer number of completions in our compliance management system (CMS).

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.

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 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

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

Cybersecurity: Phishing


Course ID: 9756
Number of Slides: 22
Est Time of Completion: 20 Minutes
Version: Interactive

Description: As firms increase reliance on technology to conduct their operations, the risks to firms associated with cybersecurity continue to increase. This course provides representatives with background knowledge of cybersecurity risks and best practices, including phishing tactics, vendor management controls, information sharing and much more.

Course Catalog

Advanced Anti-Money Laundering Overview


Course ID: 10700
Number of Slides: 29
Est Time of Completion: 20 Minutes
Version: Interactive

Description: This advanced-level firm element course provides a higher level look at AML for all types of financial services representatives and agents, and includes real-world case studies to illustrate the concepts discussed. Topics covered by this course include: Understanding the evolution of AML laws in the US; real-world examples of red flags; how reporting tools are used by FinCEN and law enforcement; and examination of case studies, focusing on red flags that were caught or missed, and how the criminals involved were abusing financial services to launder money for illegal endeavors.

Course Catalog

Outside Business Activities and Private Securities Transactions


Course ID: 9855
Number of Slides: 17
Est Time of Completion: 15 Minutes
Version: Interactive

Description: This course is intended to familiarize registered representatives and general securities supervisors with the rules regarding outside business activities and personal trading. It clearly defines what these activities can be and illustrates the importance of full disclosure and thorough supervision of these activities. FINRA’s rule on outside business activities of an associated person provides regulatory guidelines for representatives to follow when engaging in a business activity that is not part of their work for the firm. This course will cover Rule 3270 and Rule 3280, outlining representatives’ compliance responsibilities.

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

Ethics and Professional Conduct


Course ID: 9857
Number of Slides: 66
Est Time of Completion: 35 Minutes
Version: Interactive

Description: This course is intended for registered representatives, investment advisers, compliance staff and supervisors that work with retail investors. This course covers some of the basics of ethics and offers a glance at past legislation that has brought us to where we are today. By also outlining the responsibilities of each professional, this course sheds light on why it is imperative that all members of any profession maintain and adhere to professional ethical standards.

Course Catalog

Senior Exploitation & Regulatory Concerns


Course ID: 9867
Number of Slides: 28
Est Time of Completion: 19 Minutes
Version: Interactive

Description: In this course, we’ll discuss some of the major compliance concerns associated with today’s aging population. More specifically, we’ll highlight early warning signs of financial exploitation, recent disciplinary actions, and a survey conducted by NASAA. We’ll also touch on FINRA’s recent rule amendments and changes aimed at helping prevent elder financial abuse.

Course Catalog

Cybersecurity for Registered Representatives


Course ID: 9755
Number of Slides: 30
Est Time of Completion: 30 Minutes
Version: Interactive

Description: This course examines the various targets and types of cyber-attacks, their threat to the financial industry, disclosure requirements for FINRA registered firms, regulatory measures to prevent cyber-crimes and practical steps toward cybersecurity.

Course Catalog