this quick guide offers an overview of quest ce’s course listings … · 2018-02-01 ·...

QUEST CE 2013 FIRM ELEMENT COURSE CATALOG

This catalog is updated regularly. For the most up to date version visit www.questce.com/courselibrary. January © 2013

19191961

76702566

294612

198827792080

293187106

1921199314901964

9383

37132000

2122232122133212123331

Accounting Section A

Best Execution and Debt Mark UpsBooks and Records: Representative ResponsibilitiesBusiness Continuity PlanningClass B Mutual Fund SharesEconomic IndicatorsFinancial Performance EvaluationFINRA Rule 4110- Capital ComplianceGifts and Gratuities: Guidance on Rule 3220Interest, Yield, and Price CalculationsIntroduction to Gift and Estate TaxationInvestment AnalysisMergers and AcquisitionsMutual Fund Break Points and Share ClassesMutual Fund Class SharesMutual Fund ComplianceOrder Execution QualifiersOutside Business Activities and Private Securities TransactionsOutsourcing to Third-Party Service ProvidersSarbanes-Oxley OverviewSplit Dollar PlansNEW - The Role of the FINOP Types of Market Orders

This Quick Guide offers an overview of Quest CE’s course listings by category. Each course is listed alphabetically within its category and features its code, difficulty level and page number within the 2013 Firm Element Course Catalog.

Course Code

Course Level

Section/Page

Course Level Key

BeginnerIntermediateAdvanced

1 2 3

Quest CE Course Quick Guide

A1A1A2A2A3A3A4A4A5A5A6A6A7A7A8A8A9A9

A10A10A11A11


Quest CE Quick Guide

Alternative Investments

Advanced Structured Products Alternative InvestmentsAn Introduction to Non-Traded REITSAuction Rate SecuritiesCollateralized Mortgage Obligations – (CMOs)NEW - Complex Products Convertible SecuritiesETF InvestingForex Currency TradingFutures and Managed FundsFutures MarketsHedge Fund InvestingHedge Fund Investing: Regulatory Concerns and IssuesHybrid SecuritiesIntroduction to Alternative Investments Introduction to DerivativesNEW - Investing in Emerging Markets Life SettlementsManaged FuturesMargin TradingNEW - Market Making Non-Traditional ETFsOptions BasicsNEW - Overview of High-Yield Bonds Overview of Private Investment in Public Equity (PIPES)Penny Stock InvestingPrincipal Protected Notes (PPNs)Private Investments in Public EquitiesRegulation D Private PlacementsReverse Convertible SecuritiesSpecial Purpose Acquisition Company (SPAC)Split Dollar PlansStructured ProductsStructured Sale AnnuityThe OTC MarketsUnit Investment Trusts (UITs)Unregistered Resale of Restricted Securities: Regulatory Notice 09-05Zero-Coupon Bonds

Course Code

Course Level

Section/Page

43551955

461591198143061983310426911987

4287

206589

294792

43092094

9697

42971780

953808

72159429652007195127622967

83199927841994200320042005

32123231333112222121331122222323131222

Section B

B1B1B2B2B3B3B4B4B5B5B6B6B7B7B8B8B9B9

B10B10B11B11B12B12B13B13B14B14B15B15B16B16B17B17B18B18B19B19



Annuities

1031 ExchangesA Professional’s Guide to FINRA Rules on Variable Annuities and Variable Insurance ProspectingAnnuities: Owner Driven and Annuitant Driven ContractsAnnuity BasicsDeferred Variable AnnuitiesEquity Indexed AnnuitiesFixed and Variable Annuities vs. Mutual FundsIntroduction to Equity Indexed AnnuitiesSection 1035 ExchangesStructured Sale AnnuitySuitability of Variable Annuity ProductsSuitability of Variable ProductsTypes of Fixed Annuities

Anti-Money Laundering/Anti-Fraud

NEW - Advanced Anti-Money Laundering Overview Anti-Fraud Programs and ControlsAnti-Fraud Programs and Controls for the Investment Advisor Anti-Money Laundering and Red Flags for Institutional ClientsAnti-Money Laundering and the Red Flag RuleAnti-Money Laundering Considerations for BanksNEW - Anti-Money Laundering Detection and Prevention for Agents Anti-Money Laundering Training for AgentsAnti-Money Laundering Training for Broker DealersAnti-Money Laundering Training for Financial ProfessionalsAnti –Money Laundering for Home Office PersonnelAnti-Money Laundering for Municipal Securities RepresentativesNEW - Anti-Money Laundering for Wholesalers: Your Role in Detecting and Deterring Money Laundering Activity Anti-Money Laundering Regulations and RamificationsAnti-Money Laundering Regulations and Red Flag Requirements for the Investment Advisor Identity Theft Prevention and the Financial Services IndustryInformation Security: Protecting You, Your Clients, and Your FirmOnline Identity Theft ScamsPreventing Personal Identity Theft

Course Code

Course Level

Section/Page

197571

14568

19852774277810784

278427852768

95

393769

30381492

2845

3843197617741977191228514307

21753048

9015414133

32

21132223331

3331121111111

11

1111

Section B Section C

Section D

C1C1

C2C2C3C3C4C4C5C5C6C6C7

D1D1D2D2D3D3D4D4D5D5D6D6D7

D7D8

D8D9D9

D10


Communications

A Registered Representatives Guide to Electronic Communications: Blogs, Chat Rooms, Social Networks and Websites A Supervisors Guide to Electronic Communications: Blogs, Chat Rooms, Social Networks and WebsitesA Supervisor’s Role is Deterring the Spreading of False RumorsAdvertising, Sales Literature, and Correspondence NEW - Changes to FINRA’s Public Communication Rules for Registered Representative NEW - Changes to FINRA’s Public Communication Rules for Supervisors NEW - Communications with the Public: Best Practices for Wholesalers Customer CommunicationsCustomer Data Protection and the Municipal Securities RepresentativeElectronic Communications for Registered RepresentativesNEW - Electronic Communications with the Public for Wholesalers Information Security: Protecting You, Your Clients and Your Firm for the Investment AdvisorInstitutional Advertising and CommunicationsManaging Electronic CommunicationsProfessional Sales PresentationsNEW - Social Media: Best Practices for Registered Representatives NEW - Social Media: Supervision of Online Communications Social Media: Communications with the Public in an Electronic Environment Spreading False Rumors and Market ManipulationStandards for Public CommunicationsSupervision of Electronic CommunicationsSupervision of Electronic Communications for Institutional Clients

Customer Service

A Representative’s Guide to Delivering Great Customer Service Customer CommunicationsCustomer Data ProtectionDelivering Quality Customer ServiceNEW - Identity Theft: It’s Everyone’s Business Identity Theft Prevention and the Financial Services Industry Online Identity Theft ScamsNEW - Preventing Customer Complaints: A Guide for Registered Representatives

Course Code

Course Level

Section/Page

1598

1599

441960395839764308200

296218

41663040196319201491430143023612

411965

1520

3206200

159036804303

90141

4071

1

1

22111212112211111121

22121111


Section E

Section F

E1

E1

E2E2E3E3E4E4E5E5E6E6E7E7E8E8E9E9

E10E10E11E11

F1F1F2F2F3F3F4F4



Debt

An Overview of Fixed Income SecuritiesBasics of Bond InvestingBest Execution and Debt Mark UpsConvertible SecuritiesCorporate BondsInterest, Yield, and Price CalculationsMoney Markets and CDsMunicipal Bond Investing and RegulationReverse Convertible SecuritiesTaxable Fixed Income InvestingU.S. Government Agency SecuritiesU.S. Government SecuritiesZero-Coupon Bonds

Equity

Advanced Asset AllocationAsset AllocationBasics of Stock InvestingCommon StocksManaged FuturesOverview of Private Investment in Public Equity (PIPES)Penny Stock InvestingThe OTC Markets

Ethics and Professional Conduct

A Professional’s Guide to Ethical Decision Making A Supervisor’s Role in Deterring the Spreading of False RumorsAdvanced Look at Insider TradingAdvertising, Sales Literature, and Correspondence Books and Records: Representative ResponsibilitiesClient SuitabilityClient Suitability for the Investment AdvisorCode of Conduct

Course Code

Course Level

Section/Page

371275

1919198320081988296426682762

59296820022005

301978

261982

9672

15941994

4344

281519601961196230371577

1123222133232

33132221

12321111

Section G

Section H

Section I

G1G1G2G2G3G3G4G4G5G5G6G6G7

H1H1H2H2H3H3H4H4

I1I1I2I2I3I3I4I4


Ethics and Professional Conduct ..... (Continued)

Conflicts of InterestEthical Standards for ProducersEthics and Professional ConductEthics and Professional Conduct for the Municipal Securities RepresentativeEthics and the Research Analyst: FINRA Conduct RulesEthics and the Securities Futures ProfessionalEthics for the Financial Services ProfessionalFINRA Conduct RulesGifts and Gratuities: Guidance on Rule 3220Institutional EthicsIntroduction to Suitability and the Senior Protection Model RegulationInvestment Advisor Code of EthicsPreventing Sexual HarassmentSpreading False Rumors and Market ManipulationStandards for Public Communications

Institutional

Advanced Private Placements Anti-Money Laundering and Red Flags for Institutional ClientsNEW - Information Barriers for the Institutional Firm Institutional Advertising and CommunicationsInstitutional EthicsInstitutional Ethics and RegulationInvestment Banking for Equity Professionals IPO AllocationsRule 144(a): Private Resale of Restricted Securities to Qualified Institutional BuyersSEC Customer Protection Rule 15c3-3 and Federal Reserve Board Regulation T: An Institutional PerspectiveSuitability Obligations to Institutional CustomersSupervision of Electronic Communications for Institutional ClientsSupervision of Institutional Representatives

Course Code

Course Level

Section/Page

1032775277629721930

6527771986

1221

2780108

194141

1965

3177149238581963

21371432233953

9919

222024

132133221112111

3112111123

111


Section J

I5I5I6I6I7I7I8I8I9I9

I10I10I11I11I12

J1J1J2J2J3J3J4J4J5J5

J6J6J7



Investment Advisory

401K and Qualified PlansAdvanced Asset AllocationAnnuities: Owner Driven and Annuitant Driven ContractsAsset AllocationBasics of 403(b) PlansBasics of Bond InvestingBasics of InvestingBasics of Stock InvestingClass B Mutual Fund SharesClient SuitabilityCode of ConductCollateralized Mortgage Obligations – (CMOs)Conflicts of InterestCustomer CommunicationsCustomer Data ProtectionDisability Income InsuranceNEW - Due Diligence for Investment Advisers Economic Growth and Tax Relief Reconciliation Act of 2001Economic IndicatorsHow to Read a ProspectusHybrid SecuritiesInformation Security: Protecting You, Your Clients, and Your FirmIntroduction to 529 PlansIntroduction to Equity Indexed AnnuitiesIntroduction to Estate PlanningIntroduction to Gift and Estate Taxation CodeIntroduction to Suitability and the Senior Protection Model RegulationInvestment Advisor Code of EthicsIRA BasicsLife SettlementsMaking Suitable Recommendations to CustomersMutual Funds: Investment Objectives and RiskNon-Traditional ETFsPrinciples of Asset AllocationPrivate Investments in Public Equities

Course Code

Course Level

Section/Page

2730

1451978

7475492670

196215771981103200

159027723870

77258889

15464

10760

2779278010831

209419561992178027812007

33231111211312131222212232121112332

Section K

K1K1K2K2K3K3K4K4K5K5K6K6K7K7K8K8K9K9

K10K10K11K11K12K12K13K13K14K14K15K15K16K16K17K17K18


Investment Advisory ..... (Continued)

Regulation D Private PlacementsRetirement PlanningSection 529 PlansStructured Sale AnnuitySuitability of Variable Annuity ProductsSuitability of Variable ProductsSuitability – Red Flags for SeniorsTypes of Fixed AnnuitiesTypes of TrustsUnit Investment Trusts (UITs)Wrap Fee Accounts

Marketing/Advertising/Sales Literature/Correspondence

A Professional’s Guide to FINRA Rules on Variable Annuities and Variable Insurance ProspectingA Registered Representative Guide to Electronic Communications: Blogs, Chat Rooms, Social Networks and WebsitesA Supervisors Guide to Electronic Communications: Blogs, Chat Rooms, Social Networks and WebsitesA Supervisor’s Role in Deterring the Spreading of False RumorsAdvertising, Sales Literature, and Correspondence Books and Records: Representative ResponsibilitiesClient SuitabilityClient Suitability for the Investment AdvisorCustomer CommunicationsNEW - Effective Marketing Strategies Utilizing Social MediaElectronic Communications for Registered RepresentativesInstitutional Advertising and CommunicationsManaging Electronic CommunicationsProfessional Sales PresentationsReferrals and Prospecting Skills TrainingRules on Internet Availability of Proxy MaterialsSpreading False Rumors and Market ManipulationStandards for Public CommunicationsSuitability Obligations to Institutional Customers

Course Code

Course Level

Section/Page

1951278227832784278527681966

9548

200338

71

1595

1599

441960196119623037200

395718

1963192014912966

9441

196522

23233311122

2

1

1

2211122222111111


Section L

K18K19K19K20K20K21K21K22K22K23K23

L1

L1

L2

L2L3L3L4L4L5L5L6L6L7L7L8L8L9L9

L10



Marketing/Advertising/Sales Literature/Correspondence ..... (Continued)

Suitability – Red Flags for SeniorsSupervision of Electronic CommunicationsSupervision of Electronic Communications for Institutional Clients

Municipal Securities

Anti-Money Laundering for Municipal Securities RepresentativesCustomer Data Protection and the Municipal Securities RepresentativeEthics and Professional Conduct for the Municipal Securities RepresentativeMunicipal Bond Investing and RegulationSupervision of Municipal Securities Representatives

Mutual Funds

Advanced Asset AllocationNEW - Advanced Look at Collective Funds Advanced Look at Insider TradingAdvanced Look at Mutual FundsNEW - An Introduction to Collective Funds Asset AllocationBasics of InvestingBasics of Stock InvestingBest Execution and Debt Mark UpsClass B Mutual Fund SharesCommon StocksConvertible SecuritiesCorporate BondsHow to Read a ProspectusInsider TradingIntroduction to Mutual Fund InvestingInvestment AnalysisMarket Risk FactorsMutual Fund Break Points and Share ClassesMutual Fund Class SharesMutual Fund Compliance

Course Code

Course Level

Section/Page

19661520

28512962297226682854

3041722815191441701978

4926

191970

198219832008

8811

104208019913187106

1921

121

11112

333313112233221113323

Section M

Section N

L10L11L11

M1M1M2M2M3

N1N1N2N2N3N3N4N4N5N5N6N6N7N7N8N8N9N9

N10N10N11


Mutual Funds ..... (Continued)

Mutual Fund Switching: Consequences for Firms, Representatives, and CustomersMutual Funds 101Mutual Funds: Investment Objectives and RiskPrinciples of Asset AllocationUnderstanding Basic Economic ConceptsWrap Fee Accounts

Options/Futures/Derivatives

Advanced Options StrategiesEthics and the Securities Futures ProfessionalFutures and Managed FundsFutures MarketsIntroduction to DerivativesManaged FuturesOptions Basics

Real Estate/REITS

1031 ExchangesAn Introduction to Non-Traded REITSNEW - Direct Participation Programs: Registered and Unregistered Limited Partnerships

Regulation

A Professional’s Guide to FINRA Rules on Variable Annuities and Variable Insurance ProspectingA Supervisor’s Role in Deterring the Spreading of False RumorsBank Secrecy ActBlue Sky Laws NEW - Business Gifts: A Wholesaler’s Responsibilities Cash Alternatives – FINRA Regulatory Notice 08-82Dodd-Frank Wall Street Reform and Consumer Protection ActEconomic Growth and Tax Relief Reconciliation Act of 2001Ethics and the Research Analyst: FINRA Conduct RulesNEW - FACT Act of 2003 - The Red Flags Rules

Course Code

Course Level

Section/Page

37102081199227812969

38

371165

198742929695

197546

3883

71

4478

1979435519802535

7719303977

112312

3333221

313

2

221223231


Section O

Section P

Section Q

N11N12N12N13N13N14

O1O1O2O2O3O3O4

P1P1P2

Q1

Q1Q2Q2Q3Q3Q4Q4Q5Q5



Regulation ..... (Continued)

FINRA Back Office Operations FINRA Code of Arbitration, Mediation and ProcedureFINRA Conduct RulesFINRA Rule 1230(b)(6): Operations Professional Registration FINRA 2330 Supervisory Training Rule 3012 and Rule 3130 (formerly 3013) Supervisory ControlsFINRA Rule 4110- Capital ComplianceForeign Corrupt Practices ActGifts and Gratuities: Guidance on Rule 3220Gramm-Leach-Bliley ActIntroduction to Blue Sky LawsIntroduction to FINRA 2330 for Registered RepresentativesIntroduction to Suitability and the Senior Protection Model RegulationMeeting the Federal Trade Commission’s Safeguards RuleOutside Business Activities: A Wholesaler’s Responsibility Outsourcing to Third-Party Service ProvidersPension Protection Act of 2006NEW - Quest Annual Compliance Reminders for Registered Representatives - Vol.1 NEW - Quest Annual Compliance Reminders for Registered Representatives - Vol.2 Regulation D Private PlacementsRegulation NMSRule 144Rule 144 and 144(a): Restricted Stock SalesRule 144(a): Private Resale of Restricted Securities to Qualified Institutional BuyersRules on Internet Availability of Proxy MaterialsSarbanes-Oxley OverviewSEC Customer Protection Rule 15c3-3 and Federal Reserve Board Regulation T: An Institutional PerspectiveNEW - SEC Large Trade Rule 13h-1 NEW - SEC Rule 15c3-5: Market Access RuleSRO Rules for Registered RepresentativesNEW - The Role of the Operations Professional NEW - Types of Accounts NEW - Understanding the JOBS Act of 2012 NEW - Understanding the Office of Foreign Assets Control (OFAC) Unregistered Resale of Restricted Securities: Regulatory Notice 09-05

Course Code

Course Level

Section/Page

3649296319863563

79100

29461923

12399116

278032

43571964

864262393519511996199710599949319

42993878195438814290393641472004

112222211112112231122222133

11212222

Q6Q6Q7Q7Q8Q8Q9Q9

Q10Q10Q11Q11Q12Q12Q13Q13Q14Q14Q15Q15Q16Q16Q17Q17Q18Q18Q19

Q19Q20Q20Q21Q21Q22Q22Q23


Research/Trading

Advanced Look at Insider TradingEconomic IndicatorsEthics and the Research Analyst: FINRA Conduct RulesFinancial Performance EvaluationForex Currency TradingInterest, Yield, and Price CalculationsInvestment AnalysisMargin TradingMarket Risk FactorsOrder Execution QualifiersPreventing and Detecting Unauthorized TradingResearch Analysts: Research Reports and Conflicts of Interest Securities TradingSecurity AnalysisThe OTC MarketsTypes of Market Orders

Retail

A Registered Representatives Guide to Electronic Communications: Blogs, Chat Rooms, Social Networks and Websites A Supervisor’s Role in Deterring the Spreading of False RumorsAnti-Money Laundering and the Red Flag RuleAnti-Money Laundering Training for Broker DealersAnti-Fraud Programs and ControlsBasics of InvestingBasics of Stock InvestingCash Alternatives – FINRA Regulatory Notice 08-82Class B Mutual Fund SharesClient SuitabilityCode of ConductConflicts of Interest

Course Code

Course Level

Section/Page

281525

193066

269119882080

9719911993364836101998

8519942000

1598

4428

1774694926

198070

19621577103

3233321132213311

1

21131122111


Section R

Section S

R1R1R2R2R3R3R4R4R5R5R6R6R7R7R8R8

S1

S1S2S2S3S3S4S4S5S5S6S6


This catalog is updated regularly. For the most up to date version visit www.questce.com/courselibrary. January © 2013This catalog is updated regularly. For the most up to date version visit www.questce.com/courselibrary. January © 2013

Retail ..... (Continued)

Customer CommunicationsCustomer Data ProtectionDodd-Frank Wall Street Reform and Consumer Protection ActElectronic Communications for Registered RepresentativesExecutive Bonus PlansFINRA Conduct RulesHow to Read a ProspectusIntroduction to Estate PlanningIntroduction to FINRA 2330 for Registered RepresentativesIntroduction to Gift and Estate TaxationIRA BasicsMaking Suitable Recommendations to CustomersMutual Fund Break Points and Share ClassesMutual Fund ComplianceOnline Identity Theft ScamsPenny Stock InvestingProfessional Sales PresentationsSplit Dollar PlansSRO Rules for Registered RepresentativesStructured ProductsSuitability – Red Flags for SeniorsNEW - Understanding Clearing Firms and Risk Management NEW - Understanding the Role of the SIPCWrap Fee Accounts

Retirement Plans/Retirement Planning

401K and Qualified PlansAdvanced Asset AllocationNEW - Advanced Look at Collective Funds NEW - An Introduction to Collective Funds Annuities: Owner Driven and Annuitant Driven ContractsAnnuity BasicsBasics of 403(b)Deferred Variable Annuities

Research/Trading

Advanced Look at Insider TradingEconomic IndicatorsEthics and the Research Analyst: FINRA Conduct RulesFinancial Performance EvaluationForex Currency TradingInterest, Yield, and Price CalculationsInvestment AnalysisMargin TradingMarket Risk FactorsOrder Execution QualifiersPreventing and Detecting Unauthorized TradingResearch Analysts: Research Reports and Conflicts of Interest Securities TradingSecurity AnalysisThe OTC MarketsTypes of Market Orders

Retail

A Registered Representatives Guide to Electronic Communications: Blogs, Chat Rooms, Social Networks and Websites A Supervisor’s Role in Deterring the Spreading of False RumorsAnti-Money Laundering and the Red Flag RuleAnti-Money Laundering Training for Broker DealersAnti-Fraud Programs and ControlsBasics of InvestingBasics of Stock InvestingCash Alternatives – FINRA Regulatory Notice 08-82Class B Mutual Fund SharesClient SuitabilityCode of ConductConflicts of Interest

Course Code

Course Level

Section/Page

281525

193066

269119882080

9719911993364836101998

8519942000

1598

4428

1774694926

198070

19621577103

Course Code

Course Level

Section/Page

20015902535

1867

1986886016

277931

195631871921141

15941491

8319541999196642963709

38

2730

417241701456874

1985

3233321132213311

1

21131122111

213222232211331213211212

33312111


Section R

Section S

Section T

R1R1R2R2R3R3R4R4R5R5R6R6R7R7R8R8

S1

S1S2S2S3S3S4S4S5S5S6S6

S7S7S8S8S9S9

S10S10S11S11S12S12S13S13S14S14S15S15S16S16S17S17S18S18

T1T1T2T2T3T3T4T4


Retirement Plans/Retirement Planning ..... (Continued)

Economic Growth and Tax Relief Reconciliation Act of 2001Effects of Market Uncertainty on Retirement PlanningEquity Indexed AnnuitiesExecutive Bonus PlansIntroduction to 529 PlansIntroduction to Equity Indexed AnnuitiesIntroduction to Estate PlanningIntroduction to Gift and Estate TaxationIntroduction to Suitability and the Senior Protection Model RegulationIRA BasicsPension Protection Act of 2006Principles of Asset AllocationRetirement PlanningSection 1035 ExchangesSplit Dollar PlansSuitability – Red Flags for SeniorsTypes of Fixed AnnuitiesTypes of TrustsUnderstanding ERISA

Sales

Advertising, Sales Literature, and Correspondence A Professional’s Guide to FINRA Rules on Variable Annuities and Variable Insurance ProspectingClass B Mutual Fund SharesCollateralized Mortgage Obligations – (CMOs)FINRA 2330 Supervisory Training Institutional Advertising and CommunicationsIntroduction to FINRA 2330 for Registered RepresentativesProfessional Sales PresentationsReverse Convertible SecuritiesRule 144Rule 144 and 144(a): Restricted Stock Sales

Course Code

Course Level

Section/Page

7727732774

6764

10760

27792780

3186

27812782

8483

1966954840

196071

701981

791963

16149127621997105

2232223211333231112

22

232221322


Section U

T5T5T6T6T7T7T8T8T9T9

T10T10T11T11T12T12T13T13T14

U1U1

U2U2U3U3U4U4U5U5U6



Course Code

Course Level

Section/Page

Sales ..... (Continued)

Rule 144(a): Private Resale of Restricted Securities to Qualified Institutional BuyersStructured Sale AnnuityUnregistered Resale of Restricted Securities: Regulatory Notice 09-05

Social Media

A Registered Representatives Guide to Electronic Communications: Blogs, Chat Rooms, Social Networks and WebsitesA Supervisors Guide to Electronic Communications: Blogs, Chat Rooms, Social Networks and WebsitesCustomer CommunicationsElectronic Communications for Registered RepresentativesInstitutional Advertising and CommunicationsManaging Electronic CommunicationsNEW - Social Media: Best Practices for Registered RepresentativesSocial Media: Communications with the Public in an Electronic Environment NEW - Social Media: Supervision of Online Communications Standards for Public CommunicationsSupervision of Electronic CommunicationsSupervision of Electronic Communications for Institutional Clients

Suitability

A Professional’s Guide to Ethical Decision Making Client SuitabilityClient Suitability for the Investment AdvisorFINRA 2330 Supervisory Training NEW - FINRA Suitability Rule 2111: An Institutional Focus Hedge Fund InvestingIntroduction to Suitability and the Senior Protection Model RegulationMaking Suitable Recommendations to CustomersMutual Fund Class SharesMutual Funds: Investment Objectives and RiskProtecting Senior Investors

Section V

Section W

1598

1599

20018

196319204301361243021965

1520

4319623037

794298

8727801956106

19922960

1

1

2222111122

11121111221

U6U7U7

V1

V1

V2V2V3V3V4V4V5V5V6V6

W1W1W2W2W3W3W4W4W5W5W6

99 27842004

232


Suitability ..... (Continued)

Suitability Obligations to Institutional CustomersSuitability of Variable Annuity ProductsSuitability of Variable ProductsSuitability – Red Flags for Seniors

Supervision

A Supervisors Guide to Electronic Communications: Blogs, Chat Rooms, Social Networks and WebsitesA Supervisor’s Role in Deterring the Spreading of False RumorsAdvanced Look at Insider TradingFINRA 2330 Supervisory Training Rule 3012 and Rule 3130 (formerly 3013) Supervisory ControlsNEW - Heightened Supervision: Who, When, Why, and How NEW - Monitoring and Supervision of Personal Securities Transactions Supervision of Electronic CommunicationsSupervision of Electronic Communications for Institutional ClientsSupervision of Institutional RepresentativesSupervision of Life Insurance ProfessionalsSupervision of Municipal Securities RepresentativesSupervision of Registered Representatives

Course Code

Course Level

Section/Page

22278527681966

1599

442815

79100

43003845

152024

23122854

81

1331

1

232211211322


Section X

W6W7W7W8

X1

X1X2X2X3X3X4X4X5X5X6X6X7



FINRA Authored Firm Element Section Y

B529 College Savings Plans Sales Practices EL-ELC122Annual Compliance Reminders for Institutional Registered Representatives – Vol. 1 EL-ELC204Annual Compliance Reminders for Registered Representatives – Vol. 1 EL-ELC190Annual Compliance Reminders for Registered Representatives – Vol. 2 EL-ELC203Books and Records EL-ELC131Business Conduct – Institutional: Understanding Information Barriers EL-ELC199Business Gifts EL-VLC001Business Gifts: Independent Registered Representative Responsibilities EL-ELC187Business Gifts: Institutional Sales Representative Responsibilities EL-ELC188Business Gifts: Registered Representative Responsibilities EL-ELC165Business Gifts: Understanding Compliance Responsibilities EL-ELC167Business Gifts: Understanding Supervisory Responsibilities EL-ELC166Business Gifts: Understanding Wholesaler Responsibilities EL-ELC189Communications With the Public: An Introduction to Compliance Issues EL-ELC124Communications With the Public: An Introduction to Compliance Issues for EL-ELC200 Independent Registered Representatives Communications with the Public: An Introduction to Compliance Issues for Wholesalers EL-ELC201Conflicts of Interest EL-VLC007Customer Information Protection for Registered Representatives EL-ELC155Customer Information Protection for Supervisors EL-ELC156Debt Mark-Ups EL-ELC143Electronic Communications for Registered Representatives EL-ELC168Electronic Communications for Supervisors EL-ELC169Electronic Communications With the Public for Independent Registered Representatives EL-ELC183Electronic Communications With the Public for Wholesalers EL-ELC182Ethical Considerations for Institutional Sales Representatives EL-ELC173Ethical Considerations for Operations Professionals EL-ELC172Ethical Considerations for Registered Representatives EL-ELC170Ethical Considerations for Supervisors EL-ELC171Exchange-Traded Products: Understanding Leveraged and Inverse ETPs EL-ELC179Fixed Income Suitability: Retail Sales Practices EL-ELC125Foreign Corrupt Practice Act: Avoiding Improper Payments EL-ELC110Hedge Funds: Understanding Sales Practice Responsibilities EL-ELC118Insider Trading EL-ELC157Life of an Equity Trade EL-VLC008MSRB Supervision Rules EL-VLC009

Course Code

FINRA Course Quick Guide


FINRA Authored Firm Element ..... (Continued)

Outside Business Activities EL-ELC132Outside Business Activities for Independent Registered Representatives EL-ELC185Outside Business Activities for Wholesalers EL-ELC184Penny Stock Sales EL-ELC160Privacy Considerations: Conducting Business With Institutional Clients EL-ELC198Private Placements EL-VLC010Private Placements: Conducting Reasonable Investigations for Regulation D Offerings EL-ELC186Retail Branch Office Supervision: Compliance With Regulations EL-ELC126Retail Branch Office Supervision: Understanding Supervisory Responsibilities EL-ELC127Retail Supervision: Sales to Senior Investors EL-ELC139Senior Investor Issues: Diminished Decisional Capacity EL-ELC158Suitability and Know Your Customer Obligations: FINRA Rules 2111 and 2090 EL-ELC197Supervision: Obligations for Firms With Institutional Clients EL-ELC116Supervision: Obligations When Monitoring Sales and Trading EL-ELC202Supervisory Considerations for Working With Seniors EL-VLC002Understanding Commodity Futures-Linked Securities EL-ELC181Understanding Retail Structured Products EL-ELC174Use of Social Media for Business Purposes EL-ELC163Variable Annuities: Sales Practice Issues for 1035 Exchanges EL-ELC119Variable Annuities: Suitability and Disclosure for New Purchases EL-ELC113

Course Code



FINRA Authored Anti-Money Laundering Section Z

Independents: Understanding Your Compliance Obligations EL-ELC206Institutional: Customer Identification Procedures EL-ELC152Institutional: Due Diligence for Foreign Correspondent Accounts EL-VLC013Institutional: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence EL-ELC176Institutional: Exploring New Risks EL-ELC135Institutional: Identification and Reporting Issues EL-ELC121Institutional: Identifying and Managing Higher- Risk Clients EL-ELC112Institutional: Recognizing Red Flags EL-ELC144Institutional: Understanding Your Compliance Obligations EL-ELC207Institutional: Your Role in Detecting and Deterring Money-Laundering Activity EL-ELC192Operations: Customer Identification Procedures EL-ELC153Operations: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence EL-ELC177Operations: Recognizing Red Flags EL-ELC150 Operations: Your Role in Detecting and Deterring Money-Laundering Activity EL-ELC193Operations Staff: Understanding Your Compliance Obligations EL-ELC208Retail: Due Diligence for Private Banking Accounts EL-VLC014Retail: Customer Identification Procedures EL-ELC154Retail: Exploring New Risks EL-ELC136Retail: Recognizing and Escalating Suspicious Activity EL-ELC111Retail: Recognizing Red Flags EL-ELC145Retail: Customer Due Diligence EL-ELC120Retail: Understanding Your Compliance Obligations EL-ELC205Retail: Variable Annuities and Variable Life Insurance EL-ELC164Retail: Your Role in Detecting and Deterring Money-Laundering Activity EL-ELC191Wholesalers: Your Role in Detecting and Deterring Money Laundering Activity EL-ELC194Compliance: Suspicious Activity Surveillance – Part 1 EL-ELC195Compliance: Suspicious Activity Surveillance – Part 2 EL-ELC196

Course Code



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