Continuing Education Courses

The Firm Element requirement applies to any person registered with your firm who has direct contact with customers in the conduct of your firm’s securities sales, trading and investment banking activities, any person registered as a research analyst, and to the immediate supervisors of such persons (“covered person”). In general, it is more cost-effective to utilize computer modules that can be completed individually and often in a shorter amount of collective time spent by the firm and covered persons.

You will receive status reminders for incomplete modules at approximately thirty (30), fifty (50), and fifty-eight (58) days after the module is ordered.

Page size:
 47 items in 3 pages
TypeModule NameClick for Details and Purchase
Page size:
 47 items in 3 pages
Brokerage Services and MarketsInvestment Adviser Representative in Theory and Practice Details/Buy
Brokerage Services and MarketsRetirement Planning for Individuals Details/Buy
Brokerage Services and MarketsSelling Securities in a Banking Environment Details/Buy
Brokerage Services and MarketsMaster/Sub-Accounts Details/Buy
Brokerage Services and MarketsRules And Practices Institutional Traders Need To Know Details/Buy
Brokerage Services And MarketsHigh-Frequency Trading and Market Regulation Details/Buy
Brokerage Services And MarketsMarket Manipulation: Spoofing And Layering Details/Buy
Compliance and Sales PracticesFINRA Equity And Debt Research Rules Details/Buy
Compliance and Sales PracticesNew Rules To Protect Vulnerable Seniors From Exploitation Details/Buy
Compliance and Sales PracticesEthical Considerations Facing Investment Adviser Representatives Details/Buy
Compliance and Sales PracticesFront-Running Block Transactions Details/Buy
Compliance and Sales PracticesSocial Media And Investment Advisers Details/Buy
Compliance and Sales PracticesProtecting Your Customer And Yourself Against Fraud Details/Buy
Compliance and Sales PracticesFinancial Exploitation Of Vulnerable Adults Details/Buy
Compliance and Sales PracticesCustomer Account Protection Details/Buy
Compliance and Sales PracticesBranch Office Inspections Details/Buy
Compliance and Sales PracticesIdentity Theft And Cybersecurity Details/Buy
Compliance and Sales PracticesE-mail: Important Compliance Considerations Details/Buy
Compliance and Sales PracticesCustomer Sales of Unregistered Microcap Securities Details/Buy
Compliance and Sales PracticesCybersecurity: FINRA Findings And Recommended Practices Recommended Practices Details/Buy
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