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Why this package?

 

What's Included:

Mandatory CE Assessment
Certificate of Completion
6 One-Hour Online Courses
Free Course Updates
24/7 Tech Support
STC will automatically report your CE completion to FINRA

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Why this package?

 

What's Included:

Mandatory CE Assessment
Certificate of Completion
6 One-Hour Online Courses
Free Course Updates
24/7 Tech Support
STC will automatically report your CE completion to FINRA

 
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Why this package?

 

What's Included:

Mandatory CE Assessment
Certificate of Completion
12 One-Hour Online Courses
Free Course Updates
24/7 Tech Support
STC will automatically report your CE completion to FINRA

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This module focuses on the role of IAR when advising senior investors. Topics will include basic suitability for seniors, evaluating information and recommendations, professional designations, seminars for seniors, investor education, senior fraud, and social isolation of senior investors. In order to gain perspective into the ethical and fiduciary responsibilities of IARs who advise senior investors, numerous case studies and practical applications will be presented. Also included is guidance from NASAA and FINRA on the topic of advising senior investors.

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Description: Thanks to healthy lifestyles and medical advancements, people are living longer. This course will examine the steps investment advisers must take to ensure that senior investors are receiving appropriate advice.

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This course reviews fraudulent and illegal actions that are taken by financial services professionals. It will highlight cases that brought investigations and enforcement actions from the SEC and state securities Administrators. After each illegal business practice is introduced, the course will cover preventative measures that investment advisers can take to ensure that investors are protected.

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Description: Investment advisers and their representatives need to be certain to not run afoul of the industry’s rules and regulations. This course will examine various past problems and the steps that can be taken to avoid them.

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Since options can be a helpful component to an investor’s portfolio, it’s essential for investors to understand the foundational elements of these contracts. Topics covered by this course include the rights and obligations and buyers and sellers, options terminology, premium and intrinsic value. The final part of the course will examine the process of performing option calculations on the four basic option positions (i.e., buying calls, buying puts, selling calls, and selling puts).

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Description: Option contracts have a number of different beneficial uses for investors. This course will cover options terminology and examine strategy, breakeven, maximum gain, and maximum loss of the four basic option positions.

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In many cases, when corporations need to raise capital, they do so by issuing equity securities. Although this course will examine the characteristics of common stocks, preferred stocks, rights, and warrants, most of the attention is paid to common stocks. Readers will gain insight into how stocks are classified by capitalization and investment type. Lastly, details regarding the process by which investment recommendations are made will be provided.

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Description: This course provides details about the general characteristics of common stocks, preferred stocks, rights, and warrants. Additionally, the classifications of stocks and the process of making investment recommendations are covered.

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This course focuses on the ethical issues that professionals face in the financial industry. Through the analysis of current issues and case study application, users will gain an understanding of how a person’s behavior and attitude can impact the integrity of the industry. Topics include insider trading, best execution, and political contributions.

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Description: This course focuses on the ethical issues that investment advisory personnel face. Topics include insider trading, best execution, and political contributions.

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This module examines the relationship between investment adviser representatives and their clients, including the disclosures they provide. This course will describe the brochure rule, acting as a solicitor, and the creation of advisory contracts. Additionally, the ethical importance of making suitable recommendations will be reviewed, along with rules regarding advisory advertising and correspondence.

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Description: This course examines between IAs and their clients, with a special focus on required disclosures. The ethical importance of making suitable recommendations will also be reviewed.

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Understanding life insurance company offerings can be challenging given the number of different life insurance contracts. This module will examine the specific terminology and tax implications associated with term, whole life, universal life, and variable life insurance policies. Additionally, the different types of annuities will be reviewed, including the tax treatment of the pay-in and pay-out phases and the importance of determining suitability.

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Description: Insurance company products can play an important role in creating comprehensive financial plans for clients. This course will examine the characteristics and uses of the different types of life insurance contracts and annuities.

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This module examines the disclosures required on the various Forms ADV, focusing on the potential conflicts of interest that may arise between the investment adviser, its associates, and its clients. This course will describe the different items on the forms and how investment adviser representatives should ethically deal with conflicts of interest in order to act in their clients' best interests. The course will also provide multiple cases to illustrate what and how conflicts should be addressed.

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Description: Understanding Form ADV and its different sections is vital for investments advisers that are becoming registered. This course will examine the different parts and focus on the conflicts of interest that must be disclosed.

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Insider trading and the potential misuse of material, non-public information (MNPI) have been a consistent focus of the SEC’s examination and enforcement programs. Investment advisers are increasingly monitored due to their frequent interactions with the issuers in their investment portfolios. After an examination of recent regulatory actions, users will be presented with case studies to gain an understanding of appropriate and ethical responses.

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Description: This course examines the history of insider trading and uses regulatory actions and case studies to provide an understanding of appropriate and ethical responses for both investment advisers and broker-dealers.

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Since annuities include both an insurance and investment component, they can be challenging products for investors to understand. This course will examine the process by which annuities are funded (the accumulation phase) and the process by which benefits are received (the annuitization phase). The tax implications of these investments and suitability concerns are also addressed.

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Description: This course will examine the characteristics of fixed, variable, and equity indexed annuities. The different phases of accumulation and annuitization will also be explained.
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This course is perfect for individuals who want to gain an understanding of how analysts make their buy, sell, or hold recommendations. Both fundamental and technical analysis will be addressed.

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Description: When fundamental analysts need to determine their recommendations, they utilize a company’s balance sheet and income statement. This course will examine some of the different metrics and valuation techniques that are used in fundamental analysis. The approach of a technical analyst is also reviewed, including charts and pricing patterns, as well as technical theories.
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For investment advisers, the term custody is defined as “directly or indirectly holding client funds and securities, or having any authority to obtain possession of them.” This course will examine the different business practices that trigger the Custody Rule and what the implications are for an adviser. Through the use scenarios and case studies, the importance of adhering to existing rules is explained.

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Description: In the financial services industry, hearing the term “custody” can be a cause for concern. This course will provide an understanding of which business practices trigger the Custody Rule for investment advisers.
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To provide clients with a comprehensive financial plan, their life insurance needs must be considered. This course will provide define the basic terms associated with insurance policies and the parties to the contract. Since the needs of clients can be quite different, the characteristics of the different types of life insurance policies will be examined along with the various riders and policy provisions.

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Description: Life insurance is generally considered a vital component to a person’s overall financial plan. This course will examine the terminology, characteristics, and types of life insurance policies.

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Due to the advantages provided by mutual funds, they have become the investment of choice for many investors. This course will explain the terminology, structure, and advantages associated with mutual funds. The method by which shares are purchased and sold will be examined, along with the associated sales charges that may be assessed. To ensure that clients are being provided with suitable recommendations, descriptions of the characteristics of the different types of funds is provided.

 

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Description: By making one simple investment, individuals can invest in hundreds of different securities, hire a professional manager, and keep their investment costs low. This course will examine how mutual funds allow investors to do all of these things and more.

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This course examine the political contribution rules that apply to investment advisers and the potential results of a violating contribution. Through case studies, readers will gain an understanding of the impact these rules have on elections and recent SEC enforcement actions.

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Description: Insider trading and the potential misuse of material, non-public information (MNPI) have been a consistent focus of the SEC’s examination and enforcement programs. Investment advisers are increasingly monitored due to their frequent interactions with the issuers in their investment portfolios. After an examination of recent regulatory actions, users will be presented with case studies to gain an understanding of appropriate and ethical responses.

" ["AdditionalCertificatePrice"]=> string(4) "3.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(1) { [0]=> string(3) "IAR" } ["LicenseLevelTransitions"]=> array(0) { } ["Tags"]=> array(0) { } ["RequiredItems"]=> array(1) { [0]=> array(3) { ["SearchResultId"]=> int(83035) ["RemovalAllowed"]=> bool(false) ["CourseListingsMessage"]=> string(0) "" } } ["ProductCode"]=> string(17) "62917-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [18]=> array(38) { ["SearchResultId"]=> int(54169) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "62918" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(42) "Regulation Best Interest (Reg BI) (IAR CE)" ["SEOName"]=> string(31) "Regulation-Best-Interest-Reg-BI" ["Description"]=> string(708) "

Reg BI is a package of rules and interpretations that enhance the quality and transparency of the relationships that retail investors have with broker-dealers and investment advisers. This regulation includes a Fiduciary Interpretation to clarify the duty that IAs owe to their clients. This duty – which includes a duty of care and duty of loyalty – will be examined.

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Description: Since Reg BI includes a Fiduciary Interpretation, the application to investment advisers is examined. Special emphasis is placed on an adviser’s duty of care and duty of loyalty to its clients.

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One of the most challenging aspects to retirement planning is being disciplined enough to start the planning process early. Through the use of real examples, this course will explain how important it is to put money away early to take advantage of the benefits of compounding. The impact that inflation has on retirement assets will be considered. Finally, the different retirement plans and their unique characteristics will be presented so that individuals understand the benefits that are available by contributing to them.

 

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Description: After working for years, what could be more rewarding than enjoying a long and prosperous retirement. This course examines the process of planning for retirement, how to avoid a shortfall, and also reviews the different types of retirement plans.

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As a sign that social media now pervades all aspects of society, the SEC has amended Form ADV to require disclosure of advisers’ social media accounts and has issued guidance and conducted investigations related to use of social media. This course will examine the risks investment advisers face with using social media and will reinforce the obligations that they have under the advertising, books and records, and compliance rules of the Investment Advisers Act of 1940.

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Description:  The extensive use of social media in all forms of business cannot be overlooked. This course examines the issues faced by advisers that use social media and their obligations under current law.

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In the financial industry, there are a significant number of reports and forms that must be filed by a wide variety of different entities. This course will examine those that are filed by SEC reporting companies, insiders, issuers of securities, and investment advisers. Readers will learn about the information that can be obtained by reviewing a company’s 10-K and 10-Q filings, the registration forms filed by issuers that are seeking to raise capital, and even the required filings for mutual funds.

 

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Description: This course examines the different reports that are filed by SEC  reporting companies, insiders, issuers of securities, and investment advisers. The forms and the regulations for them will be described.

 

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Annual Compliance Meeting Modules:

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This module describes financial crimes, how a home office can be secured against cyberattacks, and the customer identification and due diligence obligations that broker-dealers must fulfill." ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(42) "AML and Financial Crime 2020-Institutional" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(45) "1. 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" ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(31) "AML for Insurance Professionals" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(34) "1. AML for Insurance Professionals" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(10) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AbridgedDescription"]=> string(41) " " ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "57778-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [34]=> array(36) { ["SearchResultId"]=> int(54185) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "63944" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(37) "AML para Profesionales de los Seguros" ["SEOName"]=> string(37) "AML-para-profesionales-de-los-seguros" ["Description"]=> string(11) "


" ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(37) "AML para Profesionales de los Seguros" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(41) "1. AML para profesionales de los seguros " } [1]=> array(1) { ["Title"]=> string(14) "2. Final Exam " } } } ["Properties"]=> array(10) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AbridgedDescription"]=> string(41) " " ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "63944-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [35]=> array(36) { ["SearchResultId"]=> int(54186) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "33381" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(24) "Anti-Bribery Legislation" ["SEOName"]=> string(24) "Anti-Bribery-Legislation" ["Description"]=> string(597) "

The Foreign Corrupt Practices Act (FCPA) outlaws the bribery of foreign officials. Broker-dealers that do business in foreign markets must be aware of anti-bribery legislation that impacts them and have appropriate compliance policies and procedures in place. Failure to comply with the FCPA is also a violation of FINRA Rule 2010 which requires member firms to conduct themselves in accordance with just and equitable principles of trade. This module will describe different attempts to curtail bribery of officials and the civil and criminal penalties that have been imposed on violators.

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The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Financial Crimes Enforcement Network (FinCEN), and the other financial regulators continue to make anti-money laundering (AML) compliance a top priority. One well-known brokerage firm recently paid more than $21 million in penalties to various regulators due to the failure of its AML program to detect and report multiple red flags that indicated an illegal stock manipulation was in progress. To further signal the seriousness with which the regulators view AML compliance violations, the SEC has changed its “no-admit, no-deny” settlement practices to require admission of wrongdoing in enforcement actions if it’s in the public interest.

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The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Financial Crimes Enforcement Network (FinCEN), and the other financial regulators continue to make anti-money laundering (AML) compliance a top priority. One well-known brokerage firm recently paid more than $21 million in penalties to various regulators due to the failure of its AML program to detect and report multiple red flags that indicated an illegal stock manipulation was in progress. To further signal the seriousness with which the regulators view AML compliance violations, the SEC has changed its “no-admit, no-deny” settlement practices to require admission of wrongdoing in enforcement actions if it’s in the public interest.

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The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Financial Crimes Enforcement Network (FinCEN), and the other financial regulators continue to make anti-money laundering (AML) compliance a top priority. One well-known brokerage firm recently paid more than $21 million in penalties to various regulators because its AML program failed to detect and report multiple red flags that indicated an illegal stock manipulation was in progress. To further signal the seriousness with which the regulators view AML compliance violations, the SEC has changed its “no-admit, no-deny” settlement practices to require admission of.

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FinCEN’s long-anticipated Customer Due Diligence (CDD) Rule became effective in 2018, and FINRA has announced that it will be examining its members to make sure they are complying with it. Brokerage firms are now required to obtain and verify the identities of the individuals who control their corporate customers. This course explains the CDD rule and what you need to do to make sure you are in compliance.

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The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Financial Crimes Enforcement Network (FinCEN), and the other financial regulators continue to make anti-money laundering (AML) compliance a top priority. In 2016, FINRA is again focusing on the use of delivery versus payment and receipt versus payment (DVP/RVP) accounts, in particular those of foreign financial institutions. These accounts might comprise a small part of the client relationship, but the requirements to monitor and detect suspicious activity, to know the customer, and occasionally to use enhanced due diligence, still apply.

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An overview of the investment advisory business that also explains how someone can become licensed as an Investment adviser representative (IAR).

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Whether you work in a large office with many registered representatives or alone as an independent registered representative, branch examiners will be knocking on your door. Over the years, branch inspections have uncovered a wide variety of violations such as unregistered personnel selling securities, unsuitable recommendations, inappropriate switching of securities, unauthorized outside activities, insider trading, the sale of unregistered securities, and a host of other problems. We cover the red flags that will catch the attention of the examiners.

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The state securities Administrators have examined broker-dealers every year. What are some of the common problems that the examiners found, and what should your firm do about them?

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Historically, the regulators didn’t distinguish between institutional and retail investors in its communications rules. Recent rule changes loosen the regulatory requirements for institutional sales materials, placing more responsibility on the firms themselves for policing communications with their institutional investors.

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Since the late 1990s, the U.S. securities industry has utilized the Order Audit Trail System (OATS) to simplify an order’s progression from its initial receipt to its eventual execution or cancellation, for tracking or auditing purposes. However, the SEC has released a plan to replace OATS by establishing a Consolidated Audit Trail (CAT), one of the world’s largest data repositories that will contain a complete record of all equities and options traded in the United States. This module will examine SEC Rule 613 and FINRA’s Rule 6800 Series which provide details of the provisions and terminology related to the CAT system.


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FINRA will deal harshly with broker-dealers that fail to supervise the activities of their personnel. The penalties for this failure can be severe. In addition to fines, a supervisor may be suspended from working for a brokerage firm or from holding a supervisory position. This course covers recent actions taken by the regulator and the lessons that supervisors are expected to learn from them.

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A comprehensive survey of the many rules and regulations that a registered representative must observe when communicating with retail clients. From road shows to newspaper ads, from prospectuses to e-mail, communications with the public must comply with industry rules.

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Complexity and popularity make variable annuities an important issue on the regulatory agenda. Unfortunately, concerns about the way variable annuities are sold persist, as do customer complaints. As a result, FINRA Rule 2330 places new obligations and reinforces existing obligations on firms as well as their registered representatives and registered principals. You will need to know how the rule affects each group and what they will be required to do.

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A study of the general investment features associated with common stocks, preferred stocks, rights and warrants, and sales practice considerations.

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A study of the general investment features associated with common stocks, preferred stocks, rights and warrants, and sales practice considerations.

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Investment adviser representatives must adhere to a fiduciary standard (i.e., to act solely in the best interests of their firms’ clients). Registered investment advisers are expected to adopt written policies and procedures that will detect, prevent, and correct violations of the securities laws. Advisory firms that are registered with the SEC are obligated to implement a code of ethics that articulates the ethical principles and conduct expected of IARs. Industry organizations require members to observe high standards. This module will address how all of these requirements come together to help IARs meet ethical challenges.

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Ethics is a set of moral principles or values that guides behavior. Within a profession, ethics refers to the code of conduct that governs that group’s actions (i.e., how members interact with outsiders and with one another). Through multiple case studies and discussions, this module will examine industry practices, regulations, and standards to provide a starting point for determining the appropriate way to conduct business.

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Ethics is a set of moral principles or values that guides behavior. Within a profession, ethics refers to the code of conduct that governs that group’s actions (i.e., how members interact with outsiders and with one another). Through multiple case studies and discussions, this module will examine industry practices, regulations, and standards to provide a starting point for determining the appropriate way to conduct business.

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STC’s Ethical Decision Making for Commodities Professionals satisfies the NFA Rule 2.9 requirement for ethics training. Our module engages the learner as it walks them through a series of real-life ethical dilemmas faced by financials services professionals. Topics include: your firm’s ethical standards, NFA rules, dealing fairly with customers, insider trading, and fraud.

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STC’s Ethical Decision Making for Commodities Professionals satisfies the NFA Rule 2.9 requirement for ethics training. Our module engages the learner as it walks them through a series of real-life ethical dilemmas faced by financials services professionals. Topics include: your firm’s ethical standards, NFA rules, dealing fairly with customers, insider trading, and fraud.

" ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(67) "Ethical Decision Making for Commodities Professionals - Wells Fargo" ["Items"]=> array(7) { [0]=> array(1) { ["Title"]=> string(19) "1. What Is Ethics? " } [1]=> array(1) { ["Title"]=> string(33) "2. Industry Rules and Regulations" } [2]=> array(1) { ["Title"]=> string(42) "3. What are Your Firm's Ethical Standards?" } [3]=> array(1) { ["Title"]=> string(27) "4. Making the Determination" } [4]=> array(1) { ["Title"]=> string(22) "5. What Should You Do?" } [5]=> array(1) { ["Title"]=> string(41) "6. The Consequences of Unethical Behavior" } [6]=> array(1) { ["Title"]=> string(13) "7. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "73622-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [90]=> array(36) { ["SearchResultId"]=> int(54250) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "28540" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(51) "Ethical Decision Making for Financial Professionals" ["SEOName"]=> string(51) "Ethical-Decision-Making-for-Financial-Professionals" ["Description"]=> string(243) "

Through a series of discussions and case studies, this course presents examples of ethical dilemmas and how to avoid them. Topics include understanding your firm’s code-of-ethics, fair dealing, insider trading, churning, and fraud.

" ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(51) "Ethical Decision Making for Financial Professionals" ["Items"]=> array(6) { [0]=> array(1) { ["Title"]=> string(19) "1. What are Ethics?" } [1]=> array(1) { ["Title"]=> string(48) "2. What’s the Standard of Ethics at Your Firm?" } [2]=> array(1) { ["Title"]=> string(27) "3. Making the Determination" } [3]=> array(1) { ["Title"]=> string(26) "4. Common Ethical Dilemmas" } [4]=> array(1) { ["Title"]=> string(41) "5. The Consequences of Unethical Behavior" } [5]=> array(1) { ["Title"]=> string(13) "6. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "28540-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [91]=> array(36) { ["SearchResultId"]=> int(54251) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "28851" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(48) "Ethical Issues Facing Registered Representatives" ["SEOName"]=> string(48) "Ethical-Issues-Facing-Registered-Representatives" ["Description"]=> string(458) "

Registered representatives will, at times, encounter ethical dilemmas when dealing with clients. Acting ethically is not just a matter of adhering to FINRA rules, securities laws, and written supervisory procedures. They merely lay the foundation for ethical conduct. While we cover practices that must be avoided, by keeping the client’s best interests in mind, registered representatives are more likely to satisfy their ethical obligations.

" ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(48) "Ethical Issues Facing Registered Representatives" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(51) "1. Ethical Issues Facing Registered Representatives" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(10) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AbridgedDescription"]=> string(41) " " ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "28851-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [92]=> array(36) { ["SearchResultId"]=> int(54252) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "31831" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(39) "Euronext 2019 Annual Compliance Meeting" ["SEOName"]=> string(39) "Euronext-2019-Annual-Compliance-Meeting" ["Description"]=> string(160) "
  • Anti-Money Laundering: Customer Due Diligence
  • Corporate Culture and Supervision
  • Outside Business Activities / Conflicts of Interest
  • " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(39) "Euronext 2019 Annual Compliance Meeting" ["Items"]=> array(4) { [0]=> array(1) { ["Title"]=> string(48) "1. Anti-Money Laundering: Customer Due Diligence" } [1]=> array(1) { ["Title"]=> string(36) "2. Corporate Culture and Supervision" } [2]=> array(1) { ["Title"]=> string(54) "3. Outside Business Activities / Conflicts of Interest" } [3]=> array(1) { ["Title"]=> string(14) "4. Attestation" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 12:00PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "31831-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [93]=> array(36) { ["SearchResultId"]=> int(54253) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "24608" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(43) "Financial Exploitation Of Vulnerable Adults" ["SEOName"]=> string(43) "Financial-Exploitation-Of-Vulnerable-Adults" ["Description"]=> string(452) "

    The number of Americans who are 65 or older is expected to double by 2050. As people age, they may have difficulty understanding financial matters and making investment decisions. Sadly, seniors and younger adults with a mental or physical disabilities become vulnerable to financial abuse and exploitation. We cover the warning signs that suggest financial exploitation and discuss what to do if you suspect one of your clients may be a victim.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(43) "Financial Exploitation Of Vulnerable Adults" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(46) "1. Financial Exploitation Of Vulnerable Adults" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "24608-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [94]=> array(36) { ["SearchResultId"]=> int(54254) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29854" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(31) "FINRA Cybersecurity Report 2018" ["SEOName"]=> string(31) "FINRA-Cybersecurity-Report-2018" ["Description"]=> string(584) "

    According to a recent study, one in four malware attacks targeted the financial services industry in 2018. The reason is not hard to determine—banks, brokerage firms and other financial institutions are the locations where people keep their money and hackers are always seeking to separate them from their funds. This module examines FINRA’s 2018 report which is a review of effective information-security controls implemented by securities firms and represents FINRA’s newest initiative in its ongoing efforts to help broker-dealers develop their cybersecurity programs.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(31) "FINRA Cybersecurity Report 2018" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(34) "1. FINRA Cybersecurity Report 2018" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29854-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [95]=> array(36) { ["SearchResultId"]=> int(54255) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "28854" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(51) "FINRA Enforcement Actions-Red Flags for Supervisors" ["SEOName"]=> string(53) "FINRA-Enforcement-Actions---Red-Flags-for-Supervisors" ["Description"]=> string(717) "

    Supervisors should be on the lookout for suggestions of irregularities, what the Regulators call red flags. Many recent enforcement actions for failure to supervise have involved allegations that supervisors failed to detect or respond to irregularities. We cover potential red flags that you may encounter when performing your responsibilities as a supervisor - opening accounts, reviewing account activity, using exception reports, reviewing order tickets, validating client instructions as well as, letters of authorization and e-mail instructions, and keeping track of outside business activities. A red flag may turn out to be nothing, or it may indicate a serious problem, but it should never be ignored.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(51) "FINRA Enforcement Actions-Red Flags for Supervisors" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(56) "1. FINRA Enforcement Actions - Red Flags for Supervisors" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "28854-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [96]=> array(36) { ["SearchResultId"]=> int(54257) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29871" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(23) "FINRA Suitability Rules" ["SEOName"]=> string(23) "FINRA-Suitability-Rules" ["Description"]=> string(321) "

    Although FINRA’s suitability rules mirrored the old NASD/NYSE rules, there have been significant changes. This module compares the new suitability rules with the old ones, detailing the differences and, most importantly, explaining what they mean. We also examine what firms must do to prepare for the new rules.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(23) "FINRA Suitability Rules" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(26) "1. FINRA Suitability Rules" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29871-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [97]=> array(36) { ["SearchResultId"]=> int(54258) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29872" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(31) "Fixed Income Trade Surveillance" ["SEOName"]=> string(31) "Fixed-Income-Trade-Surveillance" ["Description"]=> string(877) "

    When performing trade surveillance in the fixed income markets, many of rules set by the Financial Industry Regulatory Authority (FINRA) that apply in the equity markets also apply in the bond markets. In addition, there is set of rules that apply to transactions in municipal bonds, as promulgated by the Municipal Securities Rulemaking Board (MSRB), many of which are similar to FINRA’s rules.

    Prohibited activities that trade surveillance professionals in the bond market seek to identify include: unfair prices, quotes and trades that are not bona fide, trades that violate best execution standards, excessive markups, markdowns and commissions, price collusion, trading ahead of customer’s orders, front running, insider trading, wash trades, parking violations, unusual trade corrections, and any activities designed to manipulate the price of a bond.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(31) "Fixed Income Trade Surveillance" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(34) "1. Fixed Income Trade Surveillance" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29872-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [98]=> array(36) { ["SearchResultId"]=> int(54260) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "24610" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(18) "Gifts & Gratuities" ["SEOName"]=> string(20) "Gifts-and-Gratuities" ["Description"]=> string(372) "

    The regulators are continually scrutinizing gift-giving and entertainment practices related to brokerage business. Firms and representatives should be wary about throwing a lavish party for counterparts at another firm or providing tickets to a sporting event. These seemingly innocuous actions may result in regulatory problems for representatives and their firms.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(18) "Gifts & Gratuities" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(21) "1. Gifts & Gratuities" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "24610-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [99]=> array(36) { ["SearchResultId"]=> int(54261) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29849" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(43) "Hedge Funds-Suitability and Sales Practices" ["SEOName"]=> string(43) "Hedge-Funds-Suitability-and-Sales-Practices" ["Description"]=> string(347) "

    The regulators have long been concerned about the growth of hedge funds, particularly among retail investors and pension funds. Today, there are an estimated 10,000 hedge funds worldwide managing more than two trillion dollars in assets. Suitability and sales practices are key issues for registered representatives who sell these products.

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    Trading has gone from seconds to microseconds, putting technological innovation and speed ahead of regulation. Algorithms and high-speed trading systems can invite abuse. Armed with advanced surveillance systems, such as MIDAS and CAT, which can record events to the microsecond, the SEC and SROs are better equipped to stop abuses such as pinging, spoofing, quote stuffing, and layering. Some high-frequency trading (HFT) firms are required to join FINRA and their associated personnel are required to pass the Series 57 Examination. While regulations must maintain fair and equitable practices, they must also provide the opportunity for profit.

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    Broker-dealers are doing battle in increasingly dangerous cyberspace. We have seen cyber-attacks on a dozen large financial institutions using the speed and anonymity of the Internet—a threat to the stability of the financial system. While the methods of how to protect customer information and records are not specifically defined by the regulators, broker-dealers are required to practice security management, which involves prevention, detection, and response. We discuss methods offered by FINRA and other regulators to counter identity theft.

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    The Red Flag Rules and the proposed SEC amendment to Regulation S-P are designed to protect clients of firms that gather and use consumer information to develop identity theft prevention programs. The foundation of the program is risk assessment-identifying the red flags relevant to a firm and then developing a strategy that responds to them once suspicious activity is detected. Do the Red Flag Rules apply to broker-dealer firms?

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    A simple definition of insider trading that’s often used is, "the buying or selling of securities based on material, non-public information." However, the reality of insider trading goes beyond this simple definition and often evolves into much more complex situations. This module will examine the steps that regulators take to detect and punish any person who trades on inside information, the obstacles that are in place to prevent insider trading, and how registered representatives can avoid, identify, preempt, and deal with potential insider trading situations." ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(22) "Insider Trading (Core)" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(26) "1. Insider Trading (Core) " } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "38199-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [104]=> array(36) { ["SearchResultId"]=> int(54266) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "24611" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(19) "Insider Trading 1.0" ["SEOName"]=> string(19) "Insider-Trading-1.0" ["Description"]=> string(142) "

    An in-depth discussion about how suspicious trading is investigated, the steps taken to prevent abuses, and how the rules are enforced.

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    A thorough analysis of sales and trading rules as they apply to fixed income transactions for institutional customers. Topics include: insider trading, information barriers, and suitability issues for institutional clients.

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    A thorough analysis is provided of sales and trading rules as they apply to equity transactions for institutional customers. Topics include proprietary trading, insider trading, information barriers, and suitability issues for institutional investors.

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  • Anti-Money Laundering: Customer Due Diligence
  • Deferred Variable Annuities
  • Identity Theft and Cybersecurity
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    A fiduciary is someone who acts on behalf of another and must always put the other person’s interests first—ahead of his or her own. Currently, IARs have a higher fiduciary duty to their customers than other financial professionals. This course discusses these responsibilities and how to keep conflicts of interest at bay.

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    IARs must follow many rules when interacting with clients—the brochure rule, acting as a solicitor, advisory contracts, suitability, advertising and correspondence—all are explained in this course.

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    Is it suitable for a registered representative to recommend that distributions from a 401(k) or other employer-sponsored plan be rolled over into an IRA? The answer is maybe. In one year, approximately 95% of the money invested in traditional IRAs came from rollovers, principally from employer-sponsored retirement plans. We discuss possible alternatives such as leaving the money in an existing 401(k), rolling the money into a new employer’s plan, or cashing out.

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    Corporate Culture and Supervision18
    E-mail: Important Compliance Considerations10
    Outside Business Activities/Conflicts of Interest4
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      Business Entertainment                                                                 8
     

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    Reg BI

    SEC Marketing Rule 

    " ["Price"]=> float(0) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(44) "Ladenburg 2022 Annual Compliance Meeting (2)" ["Items"]=> array(13) { [0]=> array(1) { ["Title"]=> string(6) "1. AML" } [1]=> array(1) { ["Title"]=> string(34) "2. Code of Business Conduct/Ethics" } [2]=> array(1) { ["Title"]=> string(21) "3. Compliance Culture" } [3]=> array(1) { ["Title"]=> string(46) "4. Electronic Communications/Social Networking" } [4]=> array(1) { ["Title"]=> string(46) "5. LTAM Fiduciary Obligations and Advertising " } [5]=> array(1) { ["Title"]=> string(23) "6. Gifts and Gratuities" } [6]=> array(1) { ["Title"]=> string(15) "7. Suitability " } [7]=> array(1) { ["Title"]=> string(19) "8. Risk Management " } [8]=> array(1) { ["Title"]=> string(30) "9. Outside Business Activities" } [9]=> array(1) { ["Title"]=> string(17) "10. Cybersecurity" } [10]=> array(1) { ["Title"]=> string(11) "11. Reg BI " } [11]=> array(1) { ["Title"]=> string(23) "12. SEC Marketing Rule " } [12]=> array(1) { ["Title"]=> string(15) "13. Attestation" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 12:00PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "75276-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [128]=> array(36) { ["SearchResultId"]=> int(54293) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "75275" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(44) "Ladenburg 2022 Annual Compliance Meeting (3)" ["SEOName"]=> string(42) "Ladenburg-2022-Annual-Compliance-Meeting-3" ["Description"]=> string(697) "

    Topics:

    AML

    Code of Business Conduct and Ethics

    Compliance Culture

    Electronic Communications / Social Networking

    Gifts and Gratuities

    Suitability

    Risk Management

    Outside Business Activities

    Cybersecurity

    Reg Bi

    SEC Marketing Rule 

    " ["Price"]=> float(0) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(44) "Ladenburg 2022 Annual Compliance Meeting (3)" ["Items"]=> array(12) { [0]=> array(1) { ["Title"]=> string(6) "1. AML" } [1]=> array(1) { ["Title"]=> string(34) "2. Code of Business Conduct/Ethics" } [2]=> array(1) { ["Title"]=> string(21) "3. Compliance Culture" } [3]=> array(1) { ["Title"]=> string(46) "4. Electronic Communications/Social Networking" } [4]=> array(1) { ["Title"]=> string(23) "5. Gifts and Gratuities" } [5]=> array(1) { ["Title"]=> string(15) "6. Suitability " } [6]=> array(1) { ["Title"]=> string(19) "7. Risk Management " } [7]=> array(1) { ["Title"]=> string(30) "8. Outside Business Activities" } [8]=> array(1) { ["Title"]=> string(16) "9. Cybersecurity" } [9]=> array(1) { ["Title"]=> string(11) "10. Reg BI " } [10]=> array(1) { ["Title"]=> string(23) "11. SEC Marketing Rule " } [11]=> array(1) { ["Title"]=> string(15) "12. Attestation" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 12:00PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "75275-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [129]=> array(36) { ["SearchResultId"]=> int(54294) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29855" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(31) "Leveraged Exchange-Traded Funds" ["SEOName"]=> string(31) "Leveraged-Exchange-Traded-Funds" ["Description"]=> string(744) "

    Leveraged exchange-traded funds are the latest innovation among ETFs. Conventional ETFs are designed to mirror the movements of an index on a one-to-one basis. A leveraged ETF amplifies these movements by 2 or 3 times. An inverse leveraged ETF does the same thing, only in reverse. FINRA is concerned that many investors may not appreciate the unique characteristics of these products, which are only suitable for sophisticated investors who intend to hold them for a day or less. Mortgage-Backed Securities and CMOs. A thorough review of the mortgage-backed securities marketplace. Emphasis is placed on mortgage-backed securities and collateralized mortgage obligations, including risk factors, suitability issues, and sales practices.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(31) "Leveraged Exchange-Traded Funds" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(36) "1. Leveraged Exchange - Traded Funds" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29855-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [130]=> array(36) { ["SearchResultId"]=> int(54295) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "28565" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(41) "Market Manipulation-Spoofing And Layering" ["SEOName"]=> string(43) "Market-Manipulation---Spoofing-And-Layering" ["Description"]=> string(595) "

    FINRA announced that it would begin issuing firms a surveillance report card to assess the effectiveness of their software systems in capturing and preventing market manipulation. The focus of the first report card was to detect layering and spoofing. The regulator uses its market surveillance programs to determine whether these techniques are at play within a firm’s business—taking place entirely throughout the firm’s transaction systems, or one part of the firm. FINRA also focuses on how firms use information taken from the report cards to improve operations and compliance.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(41) "Market Manipulation-Spoofing And Layering" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(46) "1. Market Manipulation - Spoofing And Layering" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "28565-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [131]=> array(36) { ["SearchResultId"]=> int(54296) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29856" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(35) "Markups for Fixed-Income Securities" ["SEOName"]=> string(35) "Markups-for-Fixed-Income-Securities" ["Description"]=> string(484) "

    FINRA requires that the prices at which firms sell securities to the public be fair and reasonable. In order to guide its members in calculating fair prices, FINRA requires that they follow the 5% Markup Policy, a rough guideline, not a strict rule. We discuss the factors that firms must take into account when determining an appropriate markup, markdown, or commission and examine interpretations of FINRA rules to clarify how markups on debt securities should be calculated.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(35) "Markups for Fixed-Income Securities" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(38) "1. Markups for Fixed-Income Securities" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29856-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [132]=> array(36) { ["SearchResultId"]=> int(54297) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29047" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(19) "Master/Sub-Accounts" ["SEOName"]=> string(18) "MasterSub-Accounts" ["Description"]=> string(570) "

    The SEC’s Office of Compliance Inspection and Examinations has issued a Risk Alert to advise broker-dealers about the potential risks associated with these account types when the firm provides the master/sub-account holders with direct market access. We discuss the risk that unscrupulous clients may manipulate this account structure to engage in illegal activities such as money laundering, insider trading, market manipulation, account intrusion, breaches in information security, acting as an unregistered broker-dealer, and using excessive leverage.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(19) "Master/Sub-Accounts" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(22) "1. Master/Sub-Accounts" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(10) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AbridgedDescription"]=> string(41) " " ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29047-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [133]=> array(36) { ["SearchResultId"]=> int(54298) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29507" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(44) "Moors & Cabot 2019 Annual Compliance Meeting" ["SEOName"]=> string(46) "Moors-and-Cabot-2019-Annual-Compliance-Meeting" ["Description"]=> string(164) "

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(44) "Moors & Cabot 2019 Annual Compliance Meeting" ["Items"]=> array(5) { [0]=> array(1) { ["Title"]=> string(15) "1. Social Media" } [1]=> array(1) { ["Title"]=> string(31) "2. Suitability of Share Classes" } [2]=> array(1) { ["Title"]=> string(17) "3. Identity Theft" } [3]=> array(1) { ["Title"]=> string(52) "4. Outside Business Activities/Conflicts of Interest" } [4]=> array(1) { ["Title"]=> string(14) "5. Attestation" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29507-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [134]=> array(36) { ["SearchResultId"]=> int(54299) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "43270" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(44) "Moors & Cabot 2020 Annual Compliance Meeting" ["SEOName"]=> string(46) "Moors-and-Cabot-2020-Annual-Compliance-Meeting" ["Description"]=> string(467) "

    Annual Compliance Meeting Modules:

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(44) "Moors & Cabot 2020 Annual Compliance Meeting" ["Items"]=> array(6) { [0]=> array(1) { ["Title"]=> string(31) "1. Suitability of Share Classes" } [1]=> array(1) { ["Title"]=> string(24) "2. Exchange Traded Funds" } [2]=> array(1) { ["Title"]=> string(49) "3. Protecting Yourself and Customer against Fraud" } [3]=> array(1) { ["Title"]=> string(28) "4. Professional Designations" } [4]=> array(1) { ["Title"]=> string(23) "5. Gifts and Gratuities" } [5]=> array(1) { ["Title"]=> string(14) "6. Attestation" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "43270-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [135]=> array(36) { ["SearchResultId"]=> int(54300) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "57078" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(44) "Moors & Cabot 2021 Annual Compliance Meeting" ["SEOName"]=> string(46) "Moors-and-Cabot-2021-Annual-Compliance-Meeting" ["Description"]=> string(595) "

    Annual Compliance Meeting Modules:

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(44) "Moors & Cabot 2021 Annual Compliance Meeting" ["Items"]=> array(6) { [0]=> array(1) { ["Title"]=> string(56) "1. Outside Business Activities and Conflicts of Interest" } [1]=> array(1) { ["Title"]=> string(15) "2. Selling Away" } [2]=> array(1) { ["Title"]=> string(47) "3. FINRA Suitability Rules (Rule 2090 and 2111)" } [3]=> array(1) { ["Title"]=> string(44) "4. Email-Important Compliance Considerations" } [4]=> array(1) { ["Title"]=> string(28) "5. Advising Senior Investors" } [5]=> array(1) { ["Title"]=> string(14) "6. Attestation" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "57078-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [136]=> array(36) { ["SearchResultId"]=> int(54301) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "72789" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(44) "Moors & Cabot 2022 Annual Compliance Meeting" ["SEOName"]=> string(46) "Moors-and-Cabot-2022-Annual-Compliance-Meeting" ["Description"]=> string(927) "

    Annual Compliance Meeting Modules:

     

     

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(44) "Moors & Cabot 2022 Annual Compliance Meeting" ["Items"]=> array(6) { [0]=> array(1) { ["Title"]=> string(26) "1. AML Potential Red Flags" } [1]=> array(1) { ["Title"]=> string(15) "2. Social Media" } [2]=> array(1) { ["Title"]=> string(37) "3. Monitoring Investments for Seniors" } [3]=> array(1) { ["Title"]=> string(54) "4. Protecting your Customer and Yourself against Fraud" } [4]=> array(1) { ["Title"]=> string(46) "5. Suitability of Investments and Requirements" } [5]=> array(1) { ["Title"]=> string(18) "6. ACM Attestation" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "72789-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [137]=> array(36) { ["SearchResultId"]=> int(54302) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "26629" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(57) "Municipal Securities-Rule Changes and Recent Developments" ["SEOName"]=> string(59) "Municipal-Securities---Rule-Changes-and-Recent-Developments" ["Description"]=> string(570) "

    The MSRB has enacted new rules, and existing ones have gone through extensive revisions to enhance market surveillance, provide investor protection, and ensure that municipal securities issuers receive adequate disclosure from their underwriters. The MSRB has also reviewed its policies and made changes regarding the retention of books and records, periodic examinations of its members, and rules for brokers’ brokers and municipal securities professionals. The new provisions strive to achieve fair principles of trade across the municipal securities markets.

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    Sales charges and 12b-1 fees can have a significant impact on an investor’s return. Registered representatives need to understand how sales charges work, the different ways that clients may qualify for discounts, and which share classes are most suitable for different investors. Since FINRA is concerned that some clients are not receiving the breakpoints and fee waivers to which they are entitled, it will focus on these issues as it examines its members.

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    A thorough analysis of sales and trading rules as they apply to fixed income transactions for institutional customers. Topics include: insider trading, information barriers, and suitability issues for institutional clients.

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    A thorough analysis is provided of sales and trading rules as they apply to equity transactions for institutional customers. Topics include proprietary trading, insider trading, information barriers, and suitability issues for institutional investors.

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    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(28) "New Issue Rule (2020 Update)" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(31) "1. New Issue Rule (2020 Update)" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 12:00PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "33943-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [145]=> array(36) { ["SearchResultId"]=> int(54310) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29644" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(67) "NFA Ethics Training for Swap Firms: Business Activities and Conduct" ["SEOName"]=> string(34) "NFA-Ethics-Training-for-Swap-Firms" ["Description"]=> string(0) "" ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(67) "NFA Ethics Training for Swap Firms: Business Activities and Conduct" ["Items"]=> array(1) { [0]=> array(1) { ["Title"]=> string(37) "1. NFA Ethics Training for Swap Firms" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29644-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [146]=> array(36) { ["SearchResultId"]=> int(54311) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "24613" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(82) "Nontraded REITs, Direct Participation Programs, And Business Development Companies" ["SEOName"]=> string(80) "Nontraded-REITs-Direct-Participation-Programs-And-Business-Development-Companies" ["Description"]=> string(626) "

    FINRA has announced that it will be monitoring the way these products are sold. Although non-traded REITs, direct participation programs, and business development companies may be a way for some investors to diversify their portfolios and earn greater returns, they also come with disadvantages such as a lack of liquidity, high fees, and valuation issues. FINRA recently amended its rules to address the way shares of these programs are estimated on customer’s account statements. We describe the suitability, communication, and supervisory issues associated with these programs as well as the impact of these rules.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(82) "Nontraded REITs, Direct Participation Programs, And Business Development Companies" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(35) "1. Non-Traded REITs, DPPs, and BDCs" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "24613-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [147]=> array(36) { ["SearchResultId"]=> int(54312) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29868" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(29) "Online Distribution Platforms" ["SEOName"]=> string(29) "Online-Distribution-Platforms" ["Description"]=> string(512) "

    Online distribution platforms allow small businesses and start-ups to raise capital in a relatively new way, which is commonly referred to as crowdfunding. These distribution platforms make it much easier for small issuers to raise capital from a wide audience of potential investors. Some issuers will conduct public offerings, while others will raise capital through private placements. This module will examine Regulation Crowdfunding as well as the exemptions that are available for different issuers.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(29) "Online Distribution Platforms" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(32) "1. Online Distribution Platforms" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29868-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [148]=> array(36) { ["SearchResultId"]=> int(54313) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29843" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(52) "PKS Advisory Services 2019 Annual Compliance Meeting" ["SEOName"]=> string(52) "PKS-Advisory-Services-2019-Annual-Compliance-Meeting" ["Description"]=> string(0) "" ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(52) "PKS Advisory Services 2019 Annual Compliance Meeting" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(55) "1. PKS Advisory Services 2019 Annual Compliance Meeting" } [1]=> array(1) { ["Title"]=> string(14) "2. Attestation" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29843-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [149]=> array(36) { ["SearchResultId"]=> int(54314) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29139" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(61) "Political Contributions by Investment Advisers (Firm Element)" ["SEOName"]=> string(46) "Political-Contributions-by-Investment-Advisers" ["Description"]=> string(545) "

    The SEC has adopted a new rule in an effort to curb practices commonly known as pay to play. Investment advisers are to adopt robust policies and procedures designed to detect and prevent contributions made to influence the selection of a firm by a government entity. Training personnel is an important part of developing a plan. Supervisory procedures that flag potential violations before they occur are imperative. A code of ethics that spells out what is expected of everyone will leave little room for pleas of ignorance or excuses.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(61) "Political Contributions by Investment Advisers (Firm Element)" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(49) "1. Political Contributions by Investment Advisers" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29139-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [150]=> array(36) { ["SearchResultId"]=> int(54315) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "28828" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(62) "Preventing and Dealing with Sexual Harassment in the Workplace" ["SEOName"]=> string(62) "Preventing-and-Dealing-with-Sexual-Harassment-in-the-Workplace" ["Description"]=> string(433) "

    Harassment prevention training is now mandatory for employers in some states. In fact, even companies that are not located in these states are well advised to provide this type of training to their employees. Using realistic examples and scenarios that are tailored to the financial industry, this program will help a person to identify sexual harassment in the workplace, prevent it, and take appropriate action if it occurs.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(62) "Preventing and Dealing with Sexual Harassment in the Workplace" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(65) "1. Preventing and Dealing with Sexual Harassment in the Workplace" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(10) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AbridgedDescription"]=> string(41) " " ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "28828-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [151]=> array(36) { ["SearchResultId"]=> int(54316) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "47654" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(88) "Private Placements, Retail Communication, and the Revised Accredited Investor Definition" ["SEOName"]=> string(31) "Regulation-Best-Interest-Reg-BI" ["Description"]=> string(442) "

    Due to the significant time and costs involved in conducting a public offering, many small issues of securities are conducted as private placements, often by using one of the exemptions (safe harbors) that are contained in SEC Regulation D. This module will cover the Rule 506(b) and 506(c) exemptions of Regulation D, the SEC’s revised definition of accredited investors, and FINRA’s rules regarding communication with the public.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(88) "Private Placements, Retail Communication, and the Revised Accredited Investor Definition" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(91) "1. Private Placements, Retail Communication, and the Revised Accredited Investor Definition" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(10) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AbridgedDescription"]=> string(41) " " ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "47654-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [152]=> array(36) { ["SearchResultId"]=> int(54317) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29051" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(67) "Private Placements-Due Diligence and Suitability for Broker-Dealers" ["SEOName"]=> string(69) "Private-Placements---Due-Diligence-and-Suitability-for-Broker-Dealers" ["Description"]=> string(434) "

    FINRA issued Regulatory Notice 10-22 to remind broker-dealers of their obligation to conduct a reasonable investigation of the issuer and the securities they recommend in offerings made under Regulation D. Practicing due diligence is the first step a firm must take in offering unregistered securities. Determining suitability is the next step when marketing them to clients. FINRA offers suggestions on how to accomplish this.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(67) "Private Placements-Due Diligence and Suitability for Broker-Dealers" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(72) "1. Private Placements - Due Diligence and Suitability for Broker-Dealers" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29051-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [153]=> array(36) { ["SearchResultId"]=> int(54318) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "23750" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(39) "Protecting Customer Account Information" ["SEOName"]=> string(39) "Protecting-Customer-Account-Information" ["Description"]=> string(448) "

    Today, there’s a significant amount of confidential, non-public customer information in the public domain and, as more information is being collected, it means more information to protect. Congress and the SEC have passed laws to ensure this protection. FINRA has received an increasing number of reports of customer accounts being compromised and reminds its members of their obligation to prevent customer information from being misused.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(39) "Protecting Customer Account Information" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(42) "1. Protecting Customer Account Information" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "23750-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [154]=> array(36) { ["SearchResultId"]=> int(54320) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "31558" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(53) "Purshe Kaplan Sterling 2019 Annual Compliance Meeting" ["SEOName"]=> string(53) "Purshe-Kaplan-Sterling-2019-Annual-Compliance-Meeting" ["Description"]=> string(0) "" ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(53) "Purshe Kaplan Sterling 2019 Annual Compliance Meeting" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(56) "1. Purshe Kaplan Sterling 2019 Annual Compliance Meeting" } [1]=> array(1) { ["Title"]=> string(14) "2. Attestation" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 12:00PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "31558-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [155]=> array(36) { ["SearchResultId"]=> int(54321) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "24614" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(60) "Record Creation And Retention For The Financial Professional" ["SEOName"]=> string(60) "Record-Creation-And-Retention-For-The-Financial-Professional" ["Description"]=> string(584) "

    Papers, papers, everywhere, but are they the right ones? It feels as though we are drowning in paper, especially when working in the highly regulated financial services industry, which requires considerable recordkeeping. Technology has helped reduce the load, but it has also created its own problems. What records are broker-dealers and their employees required to keep, for how long, and in what format? We pay special attention to completing order tickets and collecting customer account information—two responsibilities that registered representatives perform every day.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(60) "Record Creation And Retention For The Financial Professional" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(63) "1. Record Creation and Retention for the Financial Professional" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "24614-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [156]=> array(36) { ["SearchResultId"]=> int(54323) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "36054" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(48) "Regulation Best Interest (Reg BI) (Firm Element)" ["SEOName"]=> string(31) "Regulation-Best-Interest-Reg-BI" ["Description"]=> string(610) "

    The SEC’s Regulation Best Interest (Reg BI) creates a new higher standard that broker-dealers and their registered representatives must follow when recommending securities or investment strategies to retail customers. Any products or strategies that these firms or individuals recommend to retail customers must be in the best interest of the investors (not just suitable). This module will examine the different aspects of Reg BI, the new Customer Relationship Summary (Form CRS), as well as new interpretations under the Investment Advisers Act of 1940 regarding financial advice and retail clients.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(48) "Regulation Best Interest (Reg BI) (Firm Element)" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(36) "1. Regulation Best Interest (Reg BI)" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(10) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AbridgedDescription"]=> string(41) " " ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "36054-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [157]=> array(36) { ["SearchResultId"]=> int(54324) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29050" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(14) "Regulation SHO" ["SEOName"]=> string(14) "Regulation-SHO" ["Description"]=> string(345) "

    The SEC has regulated short sales since the late 1930s and the rules had not changed until recently. Technology revolutionized the securities industry and regulators were forced to reevaluate long-standing regulations—particularly naked short selling. Regulation SHO is the SEC’s ongoing response to short sale abuses in the markets.

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    The SEC’s Office of Compliance Inspection and Examinations has issued a Risk Alert to advise broker-dealers about the potential risks associated with these account types when the firm provides the master/sub-account holders with direct market access. We discuss the risk that unscrupulous clients may manipulate this account structure to engage in illegal activities such as money laundering, insider trading, market manipulation, account intrusion, breaches in information security, acting as an unregistered broker-dealer, and using excessive leverage.

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    Most Americans are woefully underprepared for retirement. This course covers the many aspects of retirement planning—how to determine the savings needed, the common types of retirement vehicles, such as IRAs, and 401(k) available to investors, and how to invest retirement assets.

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    The day that your clients have long anticipated has arrived. They are retiring! But there is still work to be done helping them manage their retirement assets. This course explores common decisions new retirees must make as well as how to allocate and withdraw funds in retirement.

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    A discussion of the new rules and registration requirements for research analysts and their supervisors

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    This SEC rule permits non-U.S. (foreign) broker-dealers to conduct certain activities with U.S. investors without being required with the SEC as broker-dealers. Rule 15a-6 is considered a great success in enabling foreign BDs, particularly those with chaperoning arrangements, to access U.S. investors. This module will examine chaperoning arrangements and also the four specific requirements that must be met to avoid registration.

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    There has been a significant increase recently in the number of regulatory actions involving selling away and outside business practices. Ignoring the FINRA rules regarding selling away and outside business activities can cost you your career.

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    An overview of the regulations governing the sale of securities in a bank under the Gramm-Leach-Bliley Act. Discussions include the impact of GLB, privacy rules, suitability issues, and communications with the public.

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    Trillions of dollars have accumulated in the retirement accounts of baby-boomers who will soon be making the transition from gathering assets to preserving them. The question is, should variable annuities be part of end-of-life planning for seniors?

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    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(35) "Social Media and How It's Regulated" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(38) "1. Social Media and How It's Regulated" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 12:00PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "31966-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [167]=> array(36) { ["SearchResultId"]=> int(54339) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "24617" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(51) "Social Media And Investment Advisers (Firm Element)" ["SEOName"]=> string(36) "Social-Media-And-Investment-Advisers" ["Description"]=> string(564) "

    Social media is the new frontier for many investment advisers. This innovative technology is filled with possibilities for attracting new clients, but is also presents potential regulatory pitfalls involving record retention, suitability, and advertising. Although the regulators are still trying to determine the best way to protect investors without unduly restricting legitimate business activity, firms are still required to incorporate social media in their compliance programs and to regularly evaluate their policies and procedures for effectiveness.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(51) "Social Media And Investment Advisers (Firm Element)" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(39) "1. Social Media And Investment Advisers" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "24617-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [168]=> array(36) { ["SearchResultId"]=> int(54340) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "35844" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(19) "Structured Products" ["SEOName"]=> string(19) "Structured-Products" ["Description"]=> string(535) "

    FINRA defines structured products as securities which are derived from or based on a single security, a basket of securities, an index, a commodity, a debt issuance and/or a foreign currency. Structured products are typically issued by investment banks and are characterized by the significant variety in their construction, wrapping, and returns. This module will focus on the different types of structured products and the importance of determining the suitability of any structured products recommendations made to customers.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(19) "Structured Products" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(22) "1. Structured Products" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "35844-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [169]=> array(36) { ["SearchResultId"]=> int(54341) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "26695" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(34) "Suitability and Financial Planning" ["SEOName"]=> string(34) "Suitability-and-Financial-Planning" ["Description"]=> string(282) "

    Determining suitability is a complicated process that is rarely black and white. Many customer complaints include allegations of unsuitable investments. Using concrete examples, we walk you through the process of building customer profiles and selecting suitable investments.

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    Suitability has two aspects—a registered representative must both “know the customer” and “know the product” that he or she is selling. One of the key elements in understanding investment products is understanding the types of risk they might entail. This course will review the most common types of investment risk and the products with which they are associated.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(32) "Suitability and Investment Risks" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(35) "1. Suitability and Investment Risks" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "26683-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [171]=> array(36) { ["SearchResultId"]=> int(54343) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29015" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(53) "Suitability and Sales Practices for 529 Savings Plans" ["SEOName"]=> string(54) "Suitability-and-Sales-Practices-for-529-Savings-Plans-" ["Description"]=> string(446) "

    Since its introduction, the Section 529 college savings plan has become an effective way to fund college education. With so many plans to keep track of, broker-dealers have had trouble creating supervisory procedures and suitability standards. Some have considered curtailing or discontinuing selling them. A better solution is to accept the regulatory climate and pay more attention to individual investor’s needs. We show you how.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(53) "Suitability and Sales Practices for 529 Savings Plans" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(56) "1. Suitability and Sales Practices for 529 Savings Plans" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29015-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [172]=> array(36) { ["SearchResultId"]=> int(54345) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29493" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(35) "SWBC 2019 Annual Compliance Meeting" ["SEOName"]=> string(35) "SWBC-2019-Annual-Compliance-Meeting" ["Description"]=> string(242) "

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(35) "SWBC 2019 Annual Compliance Meeting" ["Items"]=> array(7) { [0]=> array(1) { ["Title"]=> string(49) "1. Anti-Money Laundering - Customer Due Diligence" } [1]=> array(1) { ["Title"]=> string(47) "2. E-Mail - Important Compliance Considerations" } [2]=> array(1) { ["Title"]=> string(15) "3. Social Media" } [3]=> array(1) { ["Title"]=> string(25) "4. Business Entertainment" } [4]=> array(1) { ["Title"]=> string(23) "5. Gifts and Gratuities" } [5]=> array(1) { ["Title"]=> string(31) "6. Suitability of Share Classes" } [6]=> array(1) { ["Title"]=> string(14) "7. Attestation" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29493-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [173]=> array(36) { ["SearchResultId"]=> int(54346) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "24618" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(30) "The SEC Share Class Initiative" ["SEOName"]=> string(30) "The-SEC-Share-Class-Initiative" ["Description"]=> string(527) "

    Ensuring that investors are not overcharged for mutual funds has long been a major regulatory concern. The SEC is also investigating the way investment advisers select share classes of mutual funds and Section 529 college savings plans for their clients. This module will identify the different types of share classes, breakpoints, waivers, sales charges, and 12b-1 fees that are associated with them. Investment advisers have an obligation to recommend the share class that represents the best option for their clients.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(30) "The SEC Share Class Initiative" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(33) "1. The SEC Share Class Initiative" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "24618-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [174]=> array(36) { ["SearchResultId"]=> int(54347) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "34338" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(14) "The SECURE Act" ["SEOName"]=> string(14) "The-SECURE-Act" ["Description"]=> string(11) "


    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(14) "The SECURE Act" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(17) "1. THE SECURE ACT" } [1]=> array(1) { ["Title"]=> string(13) "2. FINAL EXAM" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "34338-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [175]=> array(36) { ["SearchResultId"]=> int(54348) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "28850" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(39) "The Wave Theories of Technical Analysis" ["SEOName"]=> string(39) "The-Wave-Theories-of-Technical-Analysis" ["Description"]=> string(227) "

    Wave Theory changed Wall Street forever. We take a brief look at the beginnings of technical analysis and the importance that it places on understanding the current trend of the market and on forecasting stock prices.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(39) "The Wave Theories of Technical Analysis" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(42) "1. The Wave Theories of Technical Analysis" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(10) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AbridgedDescription"]=> string(41) " " ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "28850-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [176]=> array(36) { ["SearchResultId"]=> int(54349) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "75708" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(38) "TP ICAP Annual Compliance Meeting 2022" ["SEOName"]=> string(38) "TP-ICAP-Annual-Compliance-Meeting-2022" ["Description"]=> string(2066) "2022 ACM Modules and Time in Minutes
    Course                                                                          Minutes
    Anti-Bribery Legislation                                             19
    E-mail: Important Compliance Considerations     10
    Gifts and Gratuities                                                    8
    Outside Business Activities/Conflicts of Interest  4" ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(38) "TP ICAP Annual Compliance Meeting 2022" ["Items"]=> array(5) { [0]=> array(1) { ["Title"]=> string(27) "1. Anti-Bribery Legislation" } [1]=> array(1) { ["Title"]=> string(46) "2. E-mail: Important Compliance Considerations" } [2]=> array(1) { ["Title"]=> string(23) "3. Gifts and Gratuities" } [3]=> array(1) { ["Title"]=> string(52) "4. Outside Business Activities/Conflicts of Interest" } [4]=> array(1) { ["Title"]=> string(14) "5. Attestation" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 12:00PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "75708-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [177]=> array(36) { ["SearchResultId"]=> int(54350) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "30163" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(45) "Triad Advisors 2019 Annual Compliance Meeting" ["SEOName"]=> string(45) "Triad-Advisors-2019-Annual-Compliance-Meeting" ["Description"]=> string(180) "
  • Financial Exploitation of Vulnerable Adults
  • Deferred Variable Annuities
  • Professional Designations
  • Suitability of Investments and Requirements
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    This module offers an in-depth discussion on money-laundering, including recognizing money laundering activities, reporting requirements, and the ways to prevent it. Case studies offer examples on how to apply this knowledge.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(42) "Anti-Money Laundering-Institutional (Core)" ["Items"]=> array(7) { [0]=> array(1) { ["Title"]=> string(48) "1. Anti-Money Laundering - Institutional (Core) " } [1]=> array(1) { ["Title"]=> string(28) "2. Fighting Money Laundering" } [2]=> array(1) { ["Title"]=> string(78) "3. Fighting Money Laundering: Reporting Requirements—Creating an Audit Trail" } [3]=> array(1) { ["Title"]=> string(35) "4. Due Diligence and Identification" } [4]=> array(1) { ["Title"]=> string(39) "5. Money Laundering Cases and Red Flags" } [5]=> array(1) { ["Title"]=> string(46) "6. What You Can Do to Prevent Money Laundering" } [6]=> array(1) { ["Title"]=> string(13) "7. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "25292-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [210]=> array(36) { ["SearchResultId"]=> int(54194) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "26136" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(35) "Anti-Money Laundering-Retail (Core)" ["SEOName"]=> string(35) "Anti-Money-Laundering---Retail-Core" ["Description"]=> string(232) "

    This module offers an in-depth discussion on money-laundering, including recognizing money laundering activities, reporting requirements, and the ways to prevent it. Case studies offer examples on how to apply this knowledge.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(35) "Anti-Money Laundering-Retail (Core)" ["Items"]=> array(7) { [0]=> array(1) { ["Title"]=> string(15) "1. Introduction" } [1]=> array(1) { ["Title"]=> string(28) "2. Fighting Money Laundering" } [2]=> array(1) { ["Title"]=> string(51) "3. Reporting Requirements—Creating an Audit Trail" } [3]=> array(1) { ["Title"]=> string(44) "4. Customer Due Diligence and Identification" } [4]=> array(1) { ["Title"]=> string(39) "5. Money Laundering Cases and Red Flags" } [5]=> array(1) { ["Title"]=> string(46) "6. What You Can Do to Prevent Money Laundering" } [6]=> array(1) { ["Title"]=> string(13) "7. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "26136-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [211]=> array(36) { ["SearchResultId"]=> int(54222) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "23747" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(22) "Business Entertainment" ["SEOName"]=> string(22) "Business-Entertainment" ["Description"]=> string(487) "

    When is business entertainment excessive? Should specific dollar limits be imposed by the regulators as has been done with the gift-giving rule? Although FINRA has not imposed dollar limits, most member firms have established their own. Each member must have specific written policies in place that are tailored to its particular type of business and location to prevent entertainment that causes a conflict of interest between the member firm and its customers’ best interests.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(22) "Business Entertainment" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(25) "1. Business Entertainment" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Jan 1 2050 12:00AM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "23747-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [212]=> array(36) { ["SearchResultId"]=> int(54227) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "24600" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(58) "Customer Communications for the Institutional Professional" ["SEOName"]=> string(58) "Customer-Communications-for-the-Institutional-Professional" ["Description"]=> string(452) "

    There are a significant number of rules and regulations that a registered representative must observe when communicating with institutional clients. From road shows to newspaper ads, from prospectus to e-mail, communications with the public must comply with industry rules. Included are discussions on collateralized mortgage obligations (CMOs) and security futures that are not in the Customer Communications for the Retail Professional module.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(58) "Customer Communications for the Institutional Professional" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(61) "1. Customer Communications for the Institutional Professional" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "24600-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [213]=> array(36) { ["SearchResultId"]=> int(54229) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "23736" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(50) "Customer Sales of Unregistered Microcap Securities" ["SEOName"]=> string(50) "Customer-Sales-of-Unregistered-Microcap-Securities" ["Description"]=> string(570) "

    The SEC issued a Risk Alert to remind broker-dealers of their obligation to monitor their clients’ transactions in unregistered securities—particularly micro-cap securities—to be reasonably certain that these unregistered securities are eligible for resale to the public. Monitoring includes carrying out a heightened investigation before executing a transaction when a suspicious activity (red flag) is observed surrounding the transaction. The unfortunate alternative could be enforcement action that’s taken against the broker-dealer by the regulators.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(50) "Customer Sales of Unregistered Microcap Securities" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(53) "1. Customer Sales of Unregistered Microcap Securities" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "23736-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [214]=> array(36) { ["SearchResultId"]=> int(54230) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "25873" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(55) "Cybersecurity: FINRA Findings and Recommended Practices" ["SEOName"]=> string(54) "Cybersecurity-FINRA-Findings-and-Recommended-Practices" ["Description"]=> string(655) "

    The FINRA Report on Cybersecurity Practices concluded that broker-dealers face a variety of rapidly evolving threats and need a well-designed and adaptable program to address these threats. FINRA views this problem as high-priority and will be looking for evidence that a firm is making a good-faith effort to identify risks and taking steps to guard against their occurrence. Even if no customer is harmed, regulators may still bring an enforcement action if non-public information has been exposed to unauthorized persons. Training personnel on how to recognize and respond to threats reduces the likelihood that a cyberattack will be successful.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(55) "Cybersecurity: FINRA Findings and Recommended Practices" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(58) "1. Cybersecurity: FINRA Findings and Recommended Practices" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "25873-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [215]=> array(36) { ["SearchResultId"]=> int(54239) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "24603" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(22) "Digital Communications" ["SEOName"]=> string(22) "Digital-Communications" ["Description"]=> string(303) "

    The broad array of formats for digital communications, as well as devices that use those formats, have created multiple challenges for regulators and firms. What are the current rules for digital communications? What steps are firms required to take to filter and retain this wave of information?

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(22) "Digital Communications" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(25) "1. Digital Communications" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "24603-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [216]=> array(36) { ["SearchResultId"]=> int(54241) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "24605" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(43) "E-Mail: Important Compliance Considerations" ["SEOName"]=> string(42) "E-Mail-Important-Compliance-Considerations" ["Description"]=> string(655) "

    Since e-mail has become second nature to us, we may forget that it’s regulated in the same manner as the more traditional methods of paper and phones. The proliferation of electronic gadgets means that you can access your email from almost anywhere. For this reason, your firm may require you to rout your business-related email through its computer network or use a company-issued device. We review what you need to remember when using email, such as which communications need approval by a supervisor, suitability considerations, firm policies for detecting customer complaints, and verifying that instructions to transmit funds are legitimate.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(43) "E-Mail: Important Compliance Considerations" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(46) "1. E-Mail: Important Compliance Considerations" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "24605-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [217]=> array(36) { ["SearchResultId"]=> int(54245) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "25277" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(47) "Ethical Considerations For Operations Personnel" ["SEOName"]=> string(47) "Ethical-Considerations-For-Operations-Personnel" ["Description"]=> string(561) "

    Although regulators typically focus their attention on employees who interact directly with the public, operations personnel also face regulatory scrutiny and are subject to strict legal and ethical obligations. The operations area, which has responsibility for trade confirmation, transaction settlement, custody, account transfer and maintenance, and securities lending, is also responsible for creating many of the records that a firm is required to maintain. By fulfilling their ethical obligations, operations personnel keep everyone out of trouble.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(47) "Ethical Considerations For Operations Personnel" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(50) "1. Ethical Considerations For Operations Personnel" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "25277-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [218]=> array(36) { ["SearchResultId"]=> int(54256) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "26127" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(36) "FINRA Equity And Debt Research Rules" ["SEOName"]=> string(36) "FINRA-Equity-And-Debt-Research-Rules" ["Description"]=> string(560) "

    FINRA has consolidated the former NASD and NYSE research analyst rules, keeping most of the substantive provisions of the old ones, but including some changes. Requirements include members having written policies and procedures in place for controlling conflicts of interest and including information barriers to keep analysts from being overly influenced by investment banking as well as sales and trading. A new rule has been added that covers debt securities for the first time, making compliance more complicated for firms that publish debt research.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(36) "FINRA Equity And Debt Research Rules" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(39) "1. FINRA Equity and Debt Research Rules" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "26127-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [219]=> array(36) { ["SearchResultId"]=> int(54259) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "25297" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(32) "Front Running Block Transactions" ["SEOName"]=> string(32) "Front-Running-Block-Transactions" ["Description"]=> string(493) "

    FINRA Rule 5270 expands the ban against front-running when personnel know that a block transaction is about to occur. Using concrete examples based on regulatory actions, we explain what front-running is and the implications of the rule. We also discuss when a trader with information about an imminent block transaction may resume trading and what exceptions exist that allow broker-dealers to continue to trade when the trading desk has knowledge that a block transaction is imminent.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(32) "Front Running Block Transactions" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(35) "1. Front Running Block Transactions" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "25297-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [220]=> array(37) { ["SearchResultId"]=> int(54267) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "23740" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(19) "Insider Trading 3.0" ["SEOName"]=> string(19) "Insider-Trading-3.0" ["Description"]=> string(503) "

    A brokerage firm face severe penalties when an employee is convicted of insider trading and the firm is held responsible for the failure to supervise. Negligence is easier to prove when firms don’t implement written policies and information barriers. We discuss the different ways of blocking information, the methods of preventing trading issues at the registered representative level, identifying potential insider trading, and the appropriate steps to take when insider trading is suspected.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(19) "Insider Trading 3.0" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(23) "1. Insider Training 1.0" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(1) { [0]=> string(9) "CE Module" } ["LicenseLevelTransitions"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "23740-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [221]=> array(36) { ["SearchResultId"]=> int(54271) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "26556" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(50) "Introduction to Securities Analysis (Firm Element)" ["SEOName"]=> string(35) "Introduction-to-Securities-Analysis" ["Description"]=> string(252) "

    How do securities analysts evaluate companies? How do they determine an issuers EPS or P/E ratio? This material will help registered representatives understand how securities analysis works and how analysts arrive at their opinions about stocks.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(50) "Introduction to Securities Analysis (Firm Element)" ["Items"]=> array(5) { [0]=> array(1) { ["Title"]=> string(23) "1. Fundamental Analysis" } [1]=> array(1) { ["Title"]=> string(69) "2. Financial Analysis: Where Do Earnings Come From? Where Do They Go?" } [2]=> array(1) { ["Title"]=> string(20) "3. The Balance Sheet" } [3]=> array(1) { ["Title"]=> string(59) "4. Technical Analysis (Chartists): The Trend is Your Friend" } [4]=> array(1) { ["Title"]=> string(13) "5. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "26556-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [222]=> array(36) { ["SearchResultId"]=> int(54277) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "23737" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(74) "Investment Advisors-Avoiding Common Compliance Problems 3.4 - Firm Element" ["SEOName"]=> string(59) "Investment-Advisors-Avoiding-Common-Compliance-Problems-3.4" ["Description"]=> string(451) "

    The members of the North American Securities Administrators Association (NASAA) conducted a series of coordinated examinations of state-registered investment advisers. What are some of the common problems that the examiners identified and what can you and your firm do about them? The answers to these questions are more important than ever as many advisers have made the switch from SEC to state registration as a result of the Dodd-Frank Act.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(74) "Investment Advisors-Avoiding Common Compliance Problems 3.4 - Firm Element" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(62) "1. Investment Advisors-Avoiding Common Compliance Problems 3.4" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "23737-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [223]=> array(36) { ["SearchResultId"]=> int(54319) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "26202" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(51) "Protecting Your Customer And Yourself Against Fraud" ["SEOName"]=> string(51) "Protecting-Your-Customer-And-Yourself-Against-Fraud" ["Description"]=> string(446) "

    FINRA has urged firms “to be proactive in helping to educate customers about how to avoid being victims of financial fraud registered representatives are often in a unique position to help customers learn about how to avoid fraudulent solicitations.” This article addresses cold-calling abuses, spreading false and misleading rumors, penny stock and pump-and-dump schemes, Ponzi schemes, Internet investment fraud, and corporate fraud.

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    Red flags—situations that may indicate that a violation has taken place—can appear in a variety of operational areas, including new accounts, account maintenance, trade and settlement, clearing, and cashiering. This module specifically focuses on the red flags related to low-priced securities (penny stock). These red flags may be indicative of criminal activity and could result in a firm being exposed to a high level of regulatory risk.

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    This module describes the new rules and registration requirements for research analysts and their supervisors

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    Based on the concern that violations of trading rules may do harm to fair and orderly markets, regulators are strengthening their surveillance systems and scrutinizing the trading activities of institutional traders. With surveillance becoming easier as a result of electronic trading and sophisticated systems, orders can be tracked from inception to execution. We discuss the SEC and FINRA rules governing orderly execution and reporting that institutional traders must know.

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    Because people are living longer today, the senior population is growing faster than ever before. However, financial abuse is growing in proportion to our aging population. As a result, FINRA has proposed two rule changes— 1) to allow the placement of a temporary hold on a disbursement of funds or securities from a customer’s account and 2) to stress the importance of obtaining the name of a trusted contact person with whom to get in touch to discuss suspected exploitation. We discuss the proposed rule changes, cover red flags of diminished capacity and elder abuse, and compare FINRA’s proposed rules to NASAA’s Model Rule on the same subject.

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    SEC administrative proceedings, used to resolve allegations of wrongdoing within the securities industry, have come under fire with challenges to the process being aired in federal courts and media publications. The disproportionate rate in decisions rendered against respondents in administrative proceedings, as compared to actions heard in federal courts, has led some to question the impartiality of the SEC proceedings.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(11) ["ItemTypeName"]=> string(17) "CertificationExam" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(11) ["Outline"]=> array(2) { ["Title"]=> string(46) "SEC Administrative Proceedings: Are They Fair?" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(49) "1. SEC Administrative Proceedings: Are They Fair?" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "24922-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [229]=> array(36) { ["SearchResultId"]=> int(54333) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "26146" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(67) "SEC Risk Alert-Customer Sales of Unregistered, Micro-Cap Securities" ["SEOName"]=> string(68) "SEC-Risk-Alert---Customer-Sales-of-Unregistered-Micro-Cap-Securities" ["Description"]=> string(539) "

    The SEC issued a Risk Alert reminding broker-dealers of their obligation to monitor their clients’ transactions in unregistered securities, particularly microcap securities, to be reasonably sure that these unregistered securities are eligible for resale to the public. Monitoring includes carrying out a heightened investigation before executing a transaction when a suspicious activity (red flag) is observed surrounding the transaction. The alternative is enforcement action taken against the broker-dealer by the regulators.

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    This module provides an overview of the supervisory issues that institutional managers face along with the tools that they have at their disposal to deal with them. Discussions include potential red-flag case studies to illustrate real and potential problems that are likely to arise and how a manager might resolve them

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    Why this package?

     

    What's Included:

    Mandatory CE Assessment
    Certificate of Completion
    6 One-Hour Online Courses
    Free Course Updates
    24/7 Tech Support
    STC will automatically report your CE completion to FINRA

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    Why this package?

     

    What's Included:

    Mandatory CE Assessment
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    6 One-Hour Online Courses
    Free Course Updates
    24/7 Tech Support
    STC will automatically report your CE completion to FINRA

     
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    Why this package?

     

    What's Included:

    Mandatory CE Assessment
    Certificate of Completion
    12 One-Hour Online Courses
    Free Course Updates
    24/7 Tech Support
    STC will automatically report your CE completion to FINRA

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    This module focuses on the role of IAR when advising senior investors. Topics will include basic suitability for seniors, evaluating information and recommendations, professional designations, seminars for seniors, investor education, senior fraud, and social isolation of senior investors. In order to gain perspective into the ethical and fiduciary responsibilities of IARs who advise senior investors, numerous case studies and practical applications will be presented. Also included is guidance from NASAA and FINRA on the topic of advising senior investors.

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    Description: Thanks to healthy lifestyles and medical advancements, people are living longer. This course will examine the steps investment advisers must take to ensure that senior investors are receiving appropriate advice.

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    This course reviews fraudulent and illegal actions that are taken by financial services professionals. It will highlight cases that brought investigations and enforcement actions from the SEC and state securities Administrators. After each illegal business practice is introduced, the course will cover preventative measures that investment advisers can take to ensure that investors are protected.

    " ["Price"]=> float(12.5) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(false) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(44) "Avoiding Common Compliance Problems (IAR CE)" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(70) "1. Investment Advisers - Avoiding Common Compliance Problems (IAR CE) " } [1]=> array(1) { ["Title"]=> string(20) "2. Course Assessment" } } } ["Properties"]=> array(11) { ["Hours"]=> string(5) "1.000" ["CreditType"]=> string(38) "Ethics and Professional Responsibility" ["CreditSort"]=> string(1) "0" ["Sampleable"]=> string(1) "0" ["ApprovalNumber"]=> string(6) "C21100" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "1" ["ShowExpirationDate"]=> string(1) "0" ["AbridgedDescription"]=> string(574) "

    Description: Investment advisers and their representatives need to be certain to not run afoul of the industry’s rules and regulations. This course will examine various past problems and the steps that can be taken to avoid them.

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    Since options can be a helpful component to an investor’s portfolio, it’s essential for investors to understand the foundational elements of these contracts. Topics covered by this course include the rights and obligations and buyers and sellers, options terminology, premium and intrinsic value. The final part of the course will examine the process of performing option calculations on the four basic option positions (i.e., buying calls, buying puts, selling calls, and selling puts).

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    Description: Option contracts have a number of different beneficial uses for investors. This course will cover options terminology and examine strategy, breakeven, maximum gain, and maximum loss of the four basic option positions.

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    In many cases, when corporations need to raise capital, they do so by issuing equity securities. Although this course will examine the characteristics of common stocks, preferred stocks, rights, and warrants, most of the attention is paid to common stocks. Readers will gain insight into how stocks are classified by capitalization and investment type. Lastly, details regarding the process by which investment recommendations are made will be provided.

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    Description: This course provides details about the general characteristics of common stocks, preferred stocks, rights, and warrants. Additionally, the classifications of stocks and the process of making investment recommendations are covered.

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    This course focuses on the ethical issues that professionals face in the financial industry. Through the analysis of current issues and case study application, users will gain an understanding of how a person’s behavior and attitude can impact the integrity of the industry. Topics include insider trading, best execution, and political contributions.

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    Description: This course focuses on the ethical issues that investment advisory personnel face. Topics include insider trading, best execution, and political contributions.

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    This module examines the relationship between investment adviser representatives and their clients, including the disclosures they provide. This course will describe the brochure rule, acting as a solicitor, and the creation of advisory contracts. Additionally, the ethical importance of making suitable recommendations will be reviewed, along with rules regarding advisory advertising and correspondence.

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    Description: This course examines between IAs and their clients, with a special focus on required disclosures. The ethical importance of making suitable recommendations will also be reviewed.

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    Understanding life insurance company offerings can be challenging given the number of different life insurance contracts. This module will examine the specific terminology and tax implications associated with term, whole life, universal life, and variable life insurance policies. Additionally, the different types of annuities will be reviewed, including the tax treatment of the pay-in and pay-out phases and the importance of determining suitability.

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    Description: Insurance company products can play an important role in creating comprehensive financial plans for clients. This course will examine the characteristics and uses of the different types of life insurance contracts and annuities.

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    This module examines the disclosures required on the various Forms ADV, focusing on the potential conflicts of interest that may arise between the investment adviser, its associates, and its clients. This course will describe the different items on the forms and how investment adviser representatives should ethically deal with conflicts of interest in order to act in their clients' best interests. The course will also provide multiple cases to illustrate what and how conflicts should be addressed.

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    Description: Understanding Form ADV and its different sections is vital for investments advisers that are becoming registered. This course will examine the different parts and focus on the conflicts of interest that must be disclosed.

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    Insider trading and the potential misuse of material, non-public information (MNPI) have been a consistent focus of the SEC’s examination and enforcement programs. Investment advisers are increasingly monitored due to their frequent interactions with the issuers in their investment portfolios. After an examination of recent regulatory actions, users will be presented with case studies to gain an understanding of appropriate and ethical responses.

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    Description: This course examines the history of insider trading and uses regulatory actions and case studies to provide an understanding of appropriate and ethical responses for both investment advisers and broker-dealers.

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    Since annuities include both an insurance and investment component, they can be challenging products for investors to understand. This course will examine the process by which annuities are funded (the accumulation phase) and the process by which benefits are received (the annuitization phase). The tax implications of these investments and suitability concerns are also addressed.

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    Description: This course will examine the characteristics of fixed, variable, and equity indexed annuities. The different phases of accumulation and annuitization will also be explained.
    " ["AdditionalCertificatePrice"]=> string(4) "3.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(1) { [0]=> string(3) "IAR" } ["LicenseLevelTransitions"]=> array(0) { } ["Tags"]=> array(0) { } ["RequiredItems"]=> array(1) { [0]=> array(3) { ["SearchResultId"]=> int(83030) ["RemovalAllowed"]=> bool(false) ["CourseListingsMessage"]=> string(0) "" } } ["ProductCode"]=> string(17) "64370-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [13]=> array(38) { ["SearchResultId"]=> int(54164) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "64401" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(44) "Introduction to Securities Analysis (IAR CE)" ["SEOName"]=> string(42) "Introduction-to-Securities-Analysis-IAR-CE" ["Description"]=> string(607) "

    This course is perfect for individuals who want to gain an understanding of how analysts make their buy, sell, or hold recommendations. Both fundamental and technical analysis will be addressed.

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    Description: When fundamental analysts need to determine their recommendations, they utilize a company’s balance sheet and income statement. This course will examine some of the different metrics and valuation techniques that are used in fundamental analysis. The approach of a technical analyst is also reviewed, including charts and pricing patterns, as well as technical theories.
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    For investment advisers, the term custody is defined as “directly or indirectly holding client funds and securities, or having any authority to obtain possession of them.” This course will examine the different business practices that trigger the Custody Rule and what the implications are for an adviser. Through the use scenarios and case studies, the importance of adhering to existing rules is explained.

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    Description: In the financial services industry, hearing the term “custody” can be a cause for concern. This course will provide an understanding of which business practices trigger the Custody Rule for investment advisers.
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    To provide clients with a comprehensive financial plan, their life insurance needs must be considered. This course will provide define the basic terms associated with insurance policies and the parties to the contract. Since the needs of clients can be quite different, the characteristics of the different types of life insurance policies will be examined along with the various riders and policy provisions.

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    Description: Life insurance is generally considered a vital component to a person’s overall financial plan. This course will examine the terminology, characteristics, and types of life insurance policies.

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    Due to the advantages provided by mutual funds, they have become the investment of choice for many investors. This course will explain the terminology, structure, and advantages associated with mutual funds. The method by which shares are purchased and sold will be examined, along with the associated sales charges that may be assessed. To ensure that clients are being provided with suitable recommendations, descriptions of the characteristics of the different types of funds is provided.

     

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    Description: By making one simple investment, individuals can invest in hundreds of different securities, hire a professional manager, and keep their investment costs low. This course will examine how mutual funds allow investors to do all of these things and more.

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    This course examine the political contribution rules that apply to investment advisers and the potential results of a violating contribution. Through case studies, readers will gain an understanding of the impact these rules have on elections and recent SEC enforcement actions.

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    Description: Insider trading and the potential misuse of material, non-public information (MNPI) have been a consistent focus of the SEC’s examination and enforcement programs. Investment advisers are increasingly monitored due to their frequent interactions with the issuers in their investment portfolios. After an examination of recent regulatory actions, users will be presented with case studies to gain an understanding of appropriate and ethical responses.

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    Reg BI is a package of rules and interpretations that enhance the quality and transparency of the relationships that retail investors have with broker-dealers and investment advisers. This regulation includes a Fiduciary Interpretation to clarify the duty that IAs owe to their clients. This duty – which includes a duty of care and duty of loyalty – will be examined.

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    Description: Since Reg BI includes a Fiduciary Interpretation, the application to investment advisers is examined. Special emphasis is placed on an adviser’s duty of care and duty of loyalty to its clients.

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    One of the most challenging aspects to retirement planning is being disciplined enough to start the planning process early. Through the use of real examples, this course will explain how important it is to put money away early to take advantage of the benefits of compounding. The impact that inflation has on retirement assets will be considered. Finally, the different retirement plans and their unique characteristics will be presented so that individuals understand the benefits that are available by contributing to them.

     

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    Description: After working for years, what could be more rewarding than enjoying a long and prosperous retirement. This course examines the process of planning for retirement, how to avoid a shortfall, and also reviews the different types of retirement plans.

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    As a sign that social media now pervades all aspects of society, the SEC has amended Form ADV to require disclosure of advisers’ social media accounts and has issued guidance and conducted investigations related to use of social media. This course will examine the risks investment advisers face with using social media and will reinforce the obligations that they have under the advertising, books and records, and compliance rules of the Investment Advisers Act of 1940.

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    Description:  The extensive use of social media in all forms of business cannot be overlooked. This course examines the issues faced by advisers that use social media and their obligations under current law.

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    In the financial industry, there are a significant number of reports and forms that must be filed by a wide variety of different entities. This course will examine those that are filed by SEC reporting companies, insiders, issuers of securities, and investment advisers. Readers will learn about the information that can be obtained by reviewing a company’s 10-K and 10-Q filings, the registration forms filed by issuers that are seeking to raise capital, and even the required filings for mutual funds.

     

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    Description: This course examines the different reports that are filed by SEC  reporting companies, insiders, issuers of securities, and investment advisers. The forms and the regulations for them will be described.

     

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    Annual Compliance Meeting Modules:

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    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(31) "AML for Insurance Professionals" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(34) "1. AML for Insurance Professionals" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(10) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AbridgedDescription"]=> string(41) " " ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "57778-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [34]=> array(36) { ["SearchResultId"]=> int(54185) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "63944" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(37) "AML para Profesionales de los Seguros" ["SEOName"]=> string(37) "AML-para-profesionales-de-los-seguros" ["Description"]=> string(11) "


    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(37) "AML para Profesionales de los Seguros" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(41) "1. AML para profesionales de los seguros " } [1]=> array(1) { ["Title"]=> string(14) "2. Final Exam " } } } ["Properties"]=> array(10) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AbridgedDescription"]=> string(41) " " ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "63944-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [35]=> array(36) { ["SearchResultId"]=> int(54186) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "33381" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(24) "Anti-Bribery Legislation" ["SEOName"]=> string(24) "Anti-Bribery-Legislation" ["Description"]=> string(597) "

    The Foreign Corrupt Practices Act (FCPA) outlaws the bribery of foreign officials. Broker-dealers that do business in foreign markets must be aware of anti-bribery legislation that impacts them and have appropriate compliance policies and procedures in place. Failure to comply with the FCPA is also a violation of FINRA Rule 2010 which requires member firms to conduct themselves in accordance with just and equitable principles of trade. This module will describe different attempts to curtail bribery of officials and the civil and criminal penalties that have been imposed on violators.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(24) "Anti-Bribery Legislation" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(27) "1. Anti-Bribery Legislation" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 12 2050 12:12PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "33381-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [36]=> array(36) { ["SearchResultId"]=> int(54187) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "30967" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(39) "Anti-Money Laundering 3.6-Institutional" ["SEOName"]=> string(39) "Anti-Money-Laundering-3.6-Institutional" ["Description"]=> string(757) "

    The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Financial Crimes Enforcement Network (FinCEN), and the other financial regulators continue to make anti-money laundering (AML) compliance a top priority. One well-known brokerage firm recently paid more than $21 million in penalties to various regulators due to the failure of its AML program to detect and report multiple red flags that indicated an illegal stock manipulation was in progress. To further signal the seriousness with which the regulators view AML compliance violations, the SEC has changed its “no-admit, no-deny” settlement practices to require admission of wrongdoing in enforcement actions if it’s in the public interest.

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    The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Financial Crimes Enforcement Network (FinCEN), and the other financial regulators continue to make anti-money laundering (AML) compliance a top priority. One well-known brokerage firm recently paid more than $21 million in penalties to various regulators due to the failure of its AML program to detect and report multiple red flags that indicated an illegal stock manipulation was in progress. To further signal the seriousness with which the regulators view AML compliance violations, the SEC has changed its “no-admit, no-deny” settlement practices to require admission of wrongdoing in enforcement actions if it’s in the public interest.

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    The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Financial Crimes Enforcement Network (FinCEN), and the other financial regulators continue to make anti-money laundering (AML) compliance a top priority. One well-known brokerage firm recently paid more than $21 million in penalties to various regulators because its AML program failed to detect and report multiple red flags that indicated an illegal stock manipulation was in progress. To further signal the seriousness with which the regulators view AML compliance violations, the SEC has changed its “no-admit, no-deny” settlement practices to require admission of.

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    FinCEN’s long-anticipated Customer Due Diligence (CDD) Rule became effective in 2018, and FINRA has announced that it will be examining its members to make sure they are complying with it. Brokerage firms are now required to obtain and verify the identities of the individuals who control their corporate customers. This course explains the CDD rule and what you need to do to make sure you are in compliance.

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    The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Financial Crimes Enforcement Network (FinCEN), and the other financial regulators continue to make anti-money laundering (AML) compliance a top priority. In 2016, FINRA is again focusing on the use of delivery versus payment and receipt versus payment (DVP/RVP) accounts, in particular those of foreign financial institutions. These accounts might comprise a small part of the client relationship, but the requirements to monitor and detect suspicious activity, to know the customer, and occasionally to use enhanced due diligence, still apply.

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    An overview of the investment advisory business that also explains how someone can become licensed as an Investment adviser representative (IAR).

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    Whether you work in a large office with many registered representatives or alone as an independent registered representative, branch examiners will be knocking on your door. Over the years, branch inspections have uncovered a wide variety of violations such as unregistered personnel selling securities, unsuitable recommendations, inappropriate switching of securities, unauthorized outside activities, insider trading, the sale of unregistered securities, and a host of other problems. We cover the red flags that will catch the attention of the examiners.

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    The state securities Administrators have examined broker-dealers every year. What are some of the common problems that the examiners found, and what should your firm do about them?

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    Historically, the regulators didn’t distinguish between institutional and retail investors in its communications rules. Recent rule changes loosen the regulatory requirements for institutional sales materials, placing more responsibility on the firms themselves for policing communications with their institutional investors.

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    Since the late 1990s, the U.S. securities industry has utilized the Order Audit Trail System (OATS) to simplify an order’s progression from its initial receipt to its eventual execution or cancellation, for tracking or auditing purposes. However, the SEC has released a plan to replace OATS by establishing a Consolidated Audit Trail (CAT), one of the world’s largest data repositories that will contain a complete record of all equities and options traded in the United States. This module will examine SEC Rule 613 and FINRA’s Rule 6800 Series which provide details of the provisions and terminology related to the CAT system.


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    FINRA will deal harshly with broker-dealers that fail to supervise the activities of their personnel. The penalties for this failure can be severe. In addition to fines, a supervisor may be suspended from working for a brokerage firm or from holding a supervisory position. This course covers recent actions taken by the regulator and the lessons that supervisors are expected to learn from them.

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    A comprehensive survey of the many rules and regulations that a registered representative must observe when communicating with retail clients. From road shows to newspaper ads, from prospectuses to e-mail, communications with the public must comply with industry rules.

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    Complexity and popularity make variable annuities an important issue on the regulatory agenda. Unfortunately, concerns about the way variable annuities are sold persist, as do customer complaints. As a result, FINRA Rule 2330 places new obligations and reinforces existing obligations on firms as well as their registered representatives and registered principals. You will need to know how the rule affects each group and what they will be required to do.

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    A study of the general investment features associated with common stocks, preferred stocks, rights and warrants, and sales practice considerations.

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    Investment adviser representatives must adhere to a fiduciary standard (i.e., to act solely in the best interests of their firms’ clients). Registered investment advisers are expected to adopt written policies and procedures that will detect, prevent, and correct violations of the securities laws. Advisory firms that are registered with the SEC are obligated to implement a code of ethics that articulates the ethical principles and conduct expected of IARs. Industry organizations require members to observe high standards. This module will address how all of these requirements come together to help IARs meet ethical challenges.

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    Ethics is a set of moral principles or values that guides behavior. Within a profession, ethics refers to the code of conduct that governs that group’s actions (i.e., how members interact with outsiders and with one another). Through multiple case studies and discussions, this module will examine industry practices, regulations, and standards to provide a starting point for determining the appropriate way to conduct business.

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    Ethics is a set of moral principles or values that guides behavior. Within a profession, ethics refers to the code of conduct that governs that group’s actions (i.e., how members interact with outsiders and with one another). Through multiple case studies and discussions, this module will examine industry practices, regulations, and standards to provide a starting point for determining the appropriate way to conduct business.

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    STC’s Ethical Decision Making for Commodities Professionals satisfies the NFA Rule 2.9 requirement for ethics training. Our module engages the learner as it walks them through a series of real-life ethical dilemmas faced by financials services professionals. Topics include: your firm’s ethical standards, NFA rules, dealing fairly with customers, insider trading, and fraud.

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    STC’s Ethical Decision Making for Commodities Professionals satisfies the NFA Rule 2.9 requirement for ethics training. Our module engages the learner as it walks them through a series of real-life ethical dilemmas faced by financials services professionals. Topics include: your firm’s ethical standards, NFA rules, dealing fairly with customers, insider trading, and fraud.

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    Through a series of discussions and case studies, this course presents examples of ethical dilemmas and how to avoid them. Topics include understanding your firm’s code-of-ethics, fair dealing, insider trading, churning, and fraud.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(51) "Ethical Decision Making for Financial Professionals" ["Items"]=> array(6) { [0]=> array(1) { ["Title"]=> string(19) "1. What are Ethics?" } [1]=> array(1) { ["Title"]=> string(48) "2. What’s the Standard of Ethics at Your Firm?" } [2]=> array(1) { ["Title"]=> string(27) "3. Making the Determination" } [3]=> array(1) { ["Title"]=> string(26) "4. Common Ethical Dilemmas" } [4]=> array(1) { ["Title"]=> string(41) "5. The Consequences of Unethical Behavior" } [5]=> array(1) { ["Title"]=> string(13) "6. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "28540-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [91]=> array(36) { ["SearchResultId"]=> int(54251) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "28851" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(48) "Ethical Issues Facing Registered Representatives" ["SEOName"]=> string(48) "Ethical-Issues-Facing-Registered-Representatives" ["Description"]=> string(458) "

    Registered representatives will, at times, encounter ethical dilemmas when dealing with clients. Acting ethically is not just a matter of adhering to FINRA rules, securities laws, and written supervisory procedures. They merely lay the foundation for ethical conduct. While we cover practices that must be avoided, by keeping the client’s best interests in mind, registered representatives are more likely to satisfy their ethical obligations.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(48) "Ethical Issues Facing Registered Representatives" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(51) "1. Ethical Issues Facing Registered Representatives" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(10) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AbridgedDescription"]=> string(41) " " ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "28851-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [92]=> array(36) { ["SearchResultId"]=> int(54252) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "31831" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(39) "Euronext 2019 Annual Compliance Meeting" ["SEOName"]=> string(39) "Euronext-2019-Annual-Compliance-Meeting" ["Description"]=> string(160) "
  • Anti-Money Laundering: Customer Due Diligence
  • Corporate Culture and Supervision
  • Outside Business Activities / Conflicts of Interest
  • " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(39) "Euronext 2019 Annual Compliance Meeting" ["Items"]=> array(4) { [0]=> array(1) { ["Title"]=> string(48) "1. Anti-Money Laundering: Customer Due Diligence" } [1]=> array(1) { ["Title"]=> string(36) "2. Corporate Culture and Supervision" } [2]=> array(1) { ["Title"]=> string(54) "3. Outside Business Activities / Conflicts of Interest" } [3]=> array(1) { ["Title"]=> string(14) "4. Attestation" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 12:00PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "31831-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [93]=> array(36) { ["SearchResultId"]=> int(54253) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "24608" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(43) "Financial Exploitation Of Vulnerable Adults" ["SEOName"]=> string(43) "Financial-Exploitation-Of-Vulnerable-Adults" ["Description"]=> string(452) "

    The number of Americans who are 65 or older is expected to double by 2050. As people age, they may have difficulty understanding financial matters and making investment decisions. Sadly, seniors and younger adults with a mental or physical disabilities become vulnerable to financial abuse and exploitation. We cover the warning signs that suggest financial exploitation and discuss what to do if you suspect one of your clients may be a victim.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(43) "Financial Exploitation Of Vulnerable Adults" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(46) "1. Financial Exploitation Of Vulnerable Adults" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "24608-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [94]=> array(36) { ["SearchResultId"]=> int(54254) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29854" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(31) "FINRA Cybersecurity Report 2018" ["SEOName"]=> string(31) "FINRA-Cybersecurity-Report-2018" ["Description"]=> string(584) "

    According to a recent study, one in four malware attacks targeted the financial services industry in 2018. The reason is not hard to determine—banks, brokerage firms and other financial institutions are the locations where people keep their money and hackers are always seeking to separate them from their funds. This module examines FINRA’s 2018 report which is a review of effective information-security controls implemented by securities firms and represents FINRA’s newest initiative in its ongoing efforts to help broker-dealers develop their cybersecurity programs.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(31) "FINRA Cybersecurity Report 2018" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(34) "1. FINRA Cybersecurity Report 2018" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29854-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [95]=> array(36) { ["SearchResultId"]=> int(54255) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "28854" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(51) "FINRA Enforcement Actions-Red Flags for Supervisors" ["SEOName"]=> string(53) "FINRA-Enforcement-Actions---Red-Flags-for-Supervisors" ["Description"]=> string(717) "

    Supervisors should be on the lookout for suggestions of irregularities, what the Regulators call red flags. Many recent enforcement actions for failure to supervise have involved allegations that supervisors failed to detect or respond to irregularities. We cover potential red flags that you may encounter when performing your responsibilities as a supervisor - opening accounts, reviewing account activity, using exception reports, reviewing order tickets, validating client instructions as well as, letters of authorization and e-mail instructions, and keeping track of outside business activities. A red flag may turn out to be nothing, or it may indicate a serious problem, but it should never be ignored.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(51) "FINRA Enforcement Actions-Red Flags for Supervisors" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(56) "1. FINRA Enforcement Actions - Red Flags for Supervisors" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "28854-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [96]=> array(36) { ["SearchResultId"]=> int(54257) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29871" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(23) "FINRA Suitability Rules" ["SEOName"]=> string(23) "FINRA-Suitability-Rules" ["Description"]=> string(321) "

    Although FINRA’s suitability rules mirrored the old NASD/NYSE rules, there have been significant changes. This module compares the new suitability rules with the old ones, detailing the differences and, most importantly, explaining what they mean. We also examine what firms must do to prepare for the new rules.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(23) "FINRA Suitability Rules" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(26) "1. FINRA Suitability Rules" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29871-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [97]=> array(36) { ["SearchResultId"]=> int(54258) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29872" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(31) "Fixed Income Trade Surveillance" ["SEOName"]=> string(31) "Fixed-Income-Trade-Surveillance" ["Description"]=> string(877) "

    When performing trade surveillance in the fixed income markets, many of rules set by the Financial Industry Regulatory Authority (FINRA) that apply in the equity markets also apply in the bond markets. In addition, there is set of rules that apply to transactions in municipal bonds, as promulgated by the Municipal Securities Rulemaking Board (MSRB), many of which are similar to FINRA’s rules.

    Prohibited activities that trade surveillance professionals in the bond market seek to identify include: unfair prices, quotes and trades that are not bona fide, trades that violate best execution standards, excessive markups, markdowns and commissions, price collusion, trading ahead of customer’s orders, front running, insider trading, wash trades, parking violations, unusual trade corrections, and any activities designed to manipulate the price of a bond.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(31) "Fixed Income Trade Surveillance" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(34) "1. Fixed Income Trade Surveillance" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29872-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [98]=> array(36) { ["SearchResultId"]=> int(54260) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "24610" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(18) "Gifts & Gratuities" ["SEOName"]=> string(20) "Gifts-and-Gratuities" ["Description"]=> string(372) "

    The regulators are continually scrutinizing gift-giving and entertainment practices related to brokerage business. Firms and representatives should be wary about throwing a lavish party for counterparts at another firm or providing tickets to a sporting event. These seemingly innocuous actions may result in regulatory problems for representatives and their firms.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(18) "Gifts & Gratuities" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(21) "1. Gifts & Gratuities" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "24610-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [99]=> array(36) { ["SearchResultId"]=> int(54261) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29849" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(43) "Hedge Funds-Suitability and Sales Practices" ["SEOName"]=> string(43) "Hedge-Funds-Suitability-and-Sales-Practices" ["Description"]=> string(347) "

    The regulators have long been concerned about the growth of hedge funds, particularly among retail investors and pension funds. Today, there are an estimated 10,000 hedge funds worldwide managing more than two trillion dollars in assets. Suitability and sales practices are key issues for registered representatives who sell these products.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(43) "Hedge Funds-Suitability and Sales Practices" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(48) "1. Hedge Funds - Suitability and Sales Practices" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29849-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [100]=> array(36) { ["SearchResultId"]=> int(54262) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29782" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(44) "High-Frequency Trading And Market Regulation" ["SEOName"]=> string(44) "High-Frequency-Trading-And-Market-Regulation" ["Description"]=> string(654) "

    Trading has gone from seconds to microseconds, putting technological innovation and speed ahead of regulation. Algorithms and high-speed trading systems can invite abuse. Armed with advanced surveillance systems, such as MIDAS and CAT, which can record events to the microsecond, the SEC and SROs are better equipped to stop abuses such as pinging, spoofing, quote stuffing, and layering. Some high-frequency trading (HFT) firms are required to join FINRA and their associated personnel are required to pass the Series 57 Examination. While regulations must maintain fair and equitable practices, they must also provide the opportunity for profit.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(44) "High-Frequency Trading And Market Regulation" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(47) "1. High-Frequency Trading And Market Regulation" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29782-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [101]=> array(36) { ["SearchResultId"]=> int(54263) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "28561" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(37) "Identity Theft and Cybersecurity 2019" ["SEOName"]=> string(37) "Identity-Theft-and-Cybersecurity-2019" ["Description"]=> string(556) "

    Broker-dealers are doing battle in increasingly dangerous cyberspace. We have seen cyber-attacks on a dozen large financial institutions using the speed and anonymity of the Internet—a threat to the stability of the financial system. While the methods of how to protect customer information and records are not specifically defined by the regulators, broker-dealers are required to practice security management, which involves prevention, detection, and response. We discuss methods offered by FINRA and other regulators to counter identity theft.

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    The Red Flag Rules and the proposed SEC amendment to Regulation S-P are designed to protect clients of firms that gather and use consumer information to develop identity theft prevention programs. The foundation of the program is risk assessment-identifying the red flags relevant to a firm and then developing a strategy that responds to them once suspicious activity is detected. Do the Red Flag Rules apply to broker-dealer firms?

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    A simple definition of insider trading that’s often used is, "the buying or selling of securities based on material, non-public information." However, the reality of insider trading goes beyond this simple definition and often evolves into much more complex situations. This module will examine the steps that regulators take to detect and punish any person who trades on inside information, the obstacles that are in place to prevent insider trading, and how registered representatives can avoid, identify, preempt, and deal with potential insider trading situations." ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(22) "Insider Trading (Core)" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(26) "1. Insider Trading (Core) " } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "38199-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [104]=> array(36) { ["SearchResultId"]=> int(54266) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "24611" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(19) "Insider Trading 1.0" ["SEOName"]=> string(19) "Insider-Trading-1.0" ["Description"]=> string(142) "

    An in-depth discussion about how suspicious trading is investigated, the steps taken to prevent abuses, and how the rules are enforced.

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    A thorough analysis of sales and trading rules as they apply to fixed income transactions for institutional customers. Topics include: insider trading, information barriers, and suitability issues for institutional clients.

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    A thorough analysis is provided of sales and trading rules as they apply to equity transactions for institutional customers. Topics include proprietary trading, insider trading, information barriers, and suitability issues for institutional investors.

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  • Anti-Money Laundering: Customer Due Diligence
  • Deferred Variable Annuities
  • Identity Theft and Cybersecurity
  • " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(42) "Investacorp 2019 Annual Compliance Meeting" ["Items"]=> array(4) { [0]=> array(1) { ["Title"]=> string(48) "1. Anti-Money Laundering: Customer Due Diligence" } [1]=> array(1) { ["Title"]=> string(30) "2. Deferred Variable Annuities" } [2]=> array(1) { ["Title"]=> string(35) "3. Identity Theft and Cybersecurity" } [3]=> array(1) { ["Title"]=> string(14) "4. 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Investacorp 2019 Annual Compliance Questionnaire" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 12 2050 12:00PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "31825-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [110]=> array(36) { ["SearchResultId"]=> int(54274) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "28852" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(58) "Investacorp AML, Identity Theft, Vulnerable Adult Training" ["SEOName"]=> string(56) "Investacorp-AML-Identity-Theft-Vulnerable-Adult-Training" ["Description"]=> string(0) "" ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(58) "Investacorp AML, Identity Theft, Vulnerable Adult Training" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(60) "1. 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    A fiduciary is someone who acts on behalf of another and must always put the other person’s interests first—ahead of his or her own. Currently, IARs have a higher fiduciary duty to their customers than other financial professionals. This course discusses these responsibilities and how to keep conflicts of interest at bay.

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    IARs must follow many rules when interacting with clients—the brochure rule, acting as a solicitor, advisory contracts, suitability, advertising and correspondence—all are explained in this course.

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    Is it suitable for a registered representative to recommend that distributions from a 401(k) or other employer-sponsored plan be rolled over into an IRA? The answer is maybe. In one year, approximately 95% of the money invested in traditional IRAs came from rollovers, principally from employer-sponsored retirement plans. We discuss possible alternatives such as leaving the money in an existing 401(k), rolling the money into a new employer’s plan, or cashing out.

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    Corporate Culture and Supervision18
    E-mail: Important Compliance Considerations10
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      Business Entertainment                                                                 8
     

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    Gifts and Gratuities

    Suitability

    Risk Management

    Outside Business Activities

    Cybersecurity

    Reg BI

    SEC Marketing Rule 

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    Topics:

    AML

    Code of Business Conduct and Ethics

    Compliance Culture

    Electronic Communications / Social Networking

    Gifts and Gratuities

    Suitability

    Risk Management

    Outside Business Activities

    Cybersecurity

    Reg Bi

    SEC Marketing Rule 

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    Gifts and Gratuities

    Outside Business Activities

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    Gifts and Gratuities

    Suitability

    Risk Management

    Outside Business Activities

    Cybersecurity

    Reg BI

    SEC Marketing Rule 

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    Topics:

    AML

    Code of Business Conduct and Ethics

    Compliance Culture

    Electronic Communications / Social Networking

    Gifts and Gratuities

    Suitability

    Risk Management

    Outside Business Activities

    Cybersecurity

    Reg Bi

    SEC Marketing Rule 

    " ["Price"]=> float(0) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(44) "Ladenburg 2022 Annual Compliance Meeting (3)" ["Items"]=> array(12) { [0]=> array(1) { ["Title"]=> string(6) "1. AML" } [1]=> array(1) { ["Title"]=> string(34) "2. Code of Business Conduct/Ethics" } [2]=> array(1) { ["Title"]=> string(21) "3. Compliance Culture" } [3]=> array(1) { ["Title"]=> string(46) "4. Electronic Communications/Social Networking" } [4]=> array(1) { ["Title"]=> string(23) "5. Gifts and Gratuities" } [5]=> array(1) { ["Title"]=> string(15) "6. Suitability " } [6]=> array(1) { ["Title"]=> string(19) "7. Risk Management " } [7]=> array(1) { ["Title"]=> string(30) "8. Outside Business Activities" } [8]=> array(1) { ["Title"]=> string(16) "9. Cybersecurity" } [9]=> array(1) { ["Title"]=> string(11) "10. Reg BI " } [10]=> array(1) { ["Title"]=> string(23) "11. SEC Marketing Rule " } [11]=> array(1) { ["Title"]=> string(15) "12. Attestation" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 12:00PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "75275-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [129]=> array(36) { ["SearchResultId"]=> int(54294) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29855" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(31) "Leveraged Exchange-Traded Funds" ["SEOName"]=> string(31) "Leveraged-Exchange-Traded-Funds" ["Description"]=> string(744) "

    Leveraged exchange-traded funds are the latest innovation among ETFs. Conventional ETFs are designed to mirror the movements of an index on a one-to-one basis. A leveraged ETF amplifies these movements by 2 or 3 times. An inverse leveraged ETF does the same thing, only in reverse. FINRA is concerned that many investors may not appreciate the unique characteristics of these products, which are only suitable for sophisticated investors who intend to hold them for a day or less. Mortgage-Backed Securities and CMOs. A thorough review of the mortgage-backed securities marketplace. Emphasis is placed on mortgage-backed securities and collateralized mortgage obligations, including risk factors, suitability issues, and sales practices.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(31) "Leveraged Exchange-Traded Funds" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(36) "1. Leveraged Exchange - Traded Funds" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29855-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [130]=> array(36) { ["SearchResultId"]=> int(54295) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "28565" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(41) "Market Manipulation-Spoofing And Layering" ["SEOName"]=> string(43) "Market-Manipulation---Spoofing-And-Layering" ["Description"]=> string(595) "

    FINRA announced that it would begin issuing firms a surveillance report card to assess the effectiveness of their software systems in capturing and preventing market manipulation. The focus of the first report card was to detect layering and spoofing. The regulator uses its market surveillance programs to determine whether these techniques are at play within a firm’s business—taking place entirely throughout the firm’s transaction systems, or one part of the firm. FINRA also focuses on how firms use information taken from the report cards to improve operations and compliance.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(41) "Market Manipulation-Spoofing And Layering" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(46) "1. Market Manipulation - Spoofing And Layering" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "28565-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [131]=> array(36) { ["SearchResultId"]=> int(54296) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29856" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(35) "Markups for Fixed-Income Securities" ["SEOName"]=> string(35) "Markups-for-Fixed-Income-Securities" ["Description"]=> string(484) "

    FINRA requires that the prices at which firms sell securities to the public be fair and reasonable. In order to guide its members in calculating fair prices, FINRA requires that they follow the 5% Markup Policy, a rough guideline, not a strict rule. We discuss the factors that firms must take into account when determining an appropriate markup, markdown, or commission and examine interpretations of FINRA rules to clarify how markups on debt securities should be calculated.

    " ["Price"]=> float(30) ["StateAbbv"]=> string(2) "US" ["LicenseTypeId"]=> int(69) ["Rating"]=> float(0) ["RatingCount"]=> int(0) ["Rating1Count"]=> int(0) ["Rating2Count"]=> int(0) ["Rating3Count"]=> int(0) ["Rating4Count"]=> int(0) ["Rating5Count"]=> int(0) ["RatingSort"]=> int(0) ["CommentOnWeb"]=> string(0) "" ["NotForIndividualSale"]=> bool(true) ["IsNew"]=> bool(false) ["ItemTypeId"]=> int(1) ["ItemTypeName"]=> string(6) "Normal" ["IsEnrolled"]=> bool(false) ["InCart"]=> bool(false) ["AddCert"]=> int(0) ["SoldOut"]=> bool(false) ["ItemTypeID"]=> int(1) ["Outline"]=> array(2) { ["Title"]=> string(35) "Markups for Fixed-Income Securities" ["Items"]=> array(2) { [0]=> array(1) { ["Title"]=> string(38) "1. Markups for Fixed-Income Securities" } [1]=> array(1) { ["Title"]=> string(13) "2. Final Exam" } } } ["Properties"]=> array(9) { ["Hours"]=> string(5) "0.000" ["CreditType"]=> string(0) "" ["CreditSort"]=> string(2) "99" ["Sampleable"]=> string(1) "0" ["ExpirationDate"]=> string(19) "Dec 1 2050 4:24PM" ["ShowApproval"]=> string(1) "0" ["ShowExpirationDate"]=> string(1) "0" ["AdditionalCertificatePrice"]=> string(5) "20.00" ["PlatformTypeId"]=> string(1) "6" } ["SubscriptionCourseType"]=> array(0) { } ["PackageLicenseLevels"]=> array(0) { } ["LicenseLevels"]=> array(0) { } ["Tags"]=> array(0) { } ["ProductCode"]=> string(17) "29856-1-US-69-137" ["PriceSchedules"]=> array(0) { } } [132]=> array(36) { ["SearchResultId"]=> int(54297) ["SubsidiaryInternalId"]=> int(137) ["ItemId"]=> string(5) "29047" ["DeliveryMethodId"]=> int(1) ["Name"]=> string(19) "Master/Sub-Accounts" ["SEOName"]=> string(18) "MasterSub-Accounts" ["Description"]=> string(570) "

    The SEC’s Office of Compliance Inspection and Examinations has issued a Risk Alert to advise broker-dealers about the potential risks associated with these account types when the firm provides the master/sub-account holders with direct market access. We discuss the risk that unscrupulous clients may manipulate this account structure to engage in illegal activities such as money laundering, insider trading, market manipulation, account intrusion, breaches in information secu