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:
 214 items in 11 pages
TypeModule NameClick for Details and Purchase
 
Page size:
 214 items in 11 pages
Brokerage Services and MarketsAsset Allocation Details/Buy
Brokerage Services and MarketsBusiness Continuation Details/Buy
Brokerage Services and MarketsEstate Planning Details/Buy
Brokerage Services and MarketsInvesting in Foreign Markets Details/Buy
Brokerage Services and MarketsInvestment Adviser Representative in Theory and Practice Details/Buy
Brokerage Services and MarketsInvestment Banking Details/Buy
Brokerage Services and MarketsLimited Partnership Details/Buy
Brokerage Services and MarketsThe Money Market Details/Buy
Brokerage Services and MarketsOTC Markets Details/Buy
Brokerage Services and MarketsPension Rollover Training Details/Buy
Brokerage Services and MarketsRetirement Planning for Business Owners Details/Buy
Brokerage Services and MarketsRetirement Planning for Individuals Details/Buy
Brokerage Services and MarketsSelling Securities in a Deregulated Marketplace Details/Buy
Brokerage Services and MarketsSelling Securities in a Banking Environment Details/Buy
Brokerage Services and MarketsTaxation and Tax Planning Details/Buy
Brokerage Services and MarketsAsset Allocation Tools And Strategies Details/Buy
Brokerage Services and MarketsMonitoring Investments for Seniors Details/Buy
Brokerage Services and MarketsSelling Municipal Securities To Retail Customers Details/Buy
Brokerage Services and MarketsCustody Rules For Investment Advisers Details/Buy
Brokerage Services and MarketsAllocations And Distributions Of New Issues (FINRA Rule 5131) Details/Buy
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