• Home
  • Firm Element

Firm Element

Recent business and financial scandals indicate that the issue of internal controls and employee supervision are essential not only to the success and integrity of a company, but to its very survival. Both the owners and employees of companies such as Enron, WorldCom, Xerox, and Qwest would undoubtedly be in different situations if their company had stringent, functioning and firmly-implemented internal supervisory controls.

Individual Courses

Course Name Course Delivery Credit Hours Credit Type Price QTY

*indicates Course Duration. This Course is not for Credit Hours.

Suitability of Variable and Indexed Annuities
On Demand
*1  $25.00 Add to Cart
Variable Annuities - Advanced
On Demand
*1  $25.00 Add to Cart
Employment Law -> ALL
On Demand
$25.00 Add to Cart
Communication with the Public - Supervisor
On Demand
*1  $25.00 Add to Cart
Variable Annuities - General
On Demand
*1  $25.00 Add to Cart
Understanding the Regulation of Electronic Communication
On Demand
*1  $25.00 Add to Cart
Asset Allocation
On Demand
*3  $25.00 Add to Cart
Investments: International Securities
On Demand
*1  $25.00 Add to Cart
Ethics for Financial Professionals - Basic
On Demand
*2  $25.00 Add to Cart
Deferred Compensation Plans
On Demand
*1  $25.00 Add to Cart
Understanding Research Analysts' Recommendations
On Demand
*1  $25.00 Add to Cart
Compliance: Regulation S-P - Supervisory
On Demand
*1  $25.00 Add to Cart
Seniors and Variable Annuities
On Demand
*1  $25.00 Add to Cart
Understanding the Rules of FINRA
On Demand
*1  $25.00 Add to Cart
Evaluating Financial Performance
On Demand
*2  $25.00 Add to Cart
Private Placement Securities - Supervisor
On Demand
*1  $25.00 Add to Cart
Gifts, Gratuities and Regulation (Interactive)
On Demand
*2  $25.00 Add to Cart
FACT Act - Supervisory
On Demand
*1  $25.00 Add to Cart
Gramm-Leach-Bliley Act
On Demand
*1  $25.00 Add to Cart
Proactive Supervision
On Demand
*1  $25.00 Add to Cart
Institutional Suitability
On Demand
*1  $25.00 Add to Cart
Life Settlements 101
On Demand
*1  $25.00 Add to Cart
Retirement and Financial Planning with Variable Annuities
On Demand
*1  $25.00 Add to Cart
Structured Products
On Demand
*1  $25.00 Add to Cart
The SEC's Books and Records Requirements - The Basics
On Demand
*1  $25.00 Add to Cart
Advanced Supervision
On Demand
*1  $25.00 Add to Cart
Compliance: Regulation S-P - General
On Demand
*1  $25.00 Add to Cart
Options: Basic
On Demand
*1  $25.00 Add to Cart
Supervisory Controls and Procedures
On Demand
*1  $25.00 Add to Cart
Outside Business Activities
On Demand
*1  $25.00 Add to Cart
Reverse Exchangeable Securities
On Demand
*1  $25.00 Add to Cart
Anti-Money Laundering for Financial Professionals
On Demand
*2  $25.00 Add to Cart
Anti-Money Laundering - Supervisors
On Demand
*1  $25.00 Add to Cart
Compliance Issues for Investment Bankers
On Demand
*4  $25.00 Add to Cart
Municipal Securities
On Demand
*1  $25.00 Add to Cart
What is a Private Securities Transaction?
On Demand
*1  $25.00 Add to Cart
Business Conduct Practices
On Demand
*1  $25.00 Add to Cart
FACT Act - Basic
On Demand
*1  $25.00 Add to Cart
Electronic Communications I: Email Policies and Perils
On Demand
*1  $25.00 Add to Cart
Private Placement Securities - General
On Demand
*1  $25.00 Add to Cart
Variable Annuities - Supervisor
On Demand
*1  $25.00 Add to Cart
Direct Participation Programs
On Demand
*1  $25.00 Add to Cart
Corporate Finance for Professionals
On Demand
*1  $25.00 Add to Cart
Anti-Money Laundering - General
On Demand
*1  $25.00 Add to Cart
Mutual Funds - Advanced
On Demand
*1  $25.00 Add to Cart
Institutional Ethics
On Demand
*1  $25.00 Add to Cart
Mutual Funds - Basic
On Demand
*1  $25.00 Add to Cart
Know Your Customer
On Demand
*1  $25.00 Add to Cart
Communication with the Public - Supervisory Level (Interactive)
On Demand
*1  $25.00 Add to Cart
Outside Business Activities (Interactive)
On Demand
*1  $25.00 Add to Cart
Communication with the Public for the Registered Rep (Interactive)
On Demand
*2  $25.00 Add to Cart
Understanding 1035 Exchanges
On Demand
*1  $25.00 Add to Cart
401(k)
On Demand
*2  $25.00 Add to Cart
Institutional Communication and Advertising
On Demand
*1  $25.00 Add to Cart
Wills and Trusts
On Demand
*1  $25.00 Add to Cart
Principles of Banking (Interactive)
On Demand
*1  $25.00 Add to Cart
Fiduciary Responsibility and Retirement Planning
On Demand
*1  $25.00 Add to Cart
Private Placement Securities - Advanced
On Demand
*1  $25.00 Add to Cart
Qualified Retirement Plans and IRAs
On Demand
*1  $25.00 Add to Cart
Anti-Money Laundering - Advanced
On Demand
*1  $25.00 Add to Cart
Non-exchange Traded REITs
On Demand
*1  $25.00 Add to Cart
Do Not Call & the Securities Industry
On Demand
*1  $25.00 Add to Cart
Gifts, Gratuities and Regulation
On Demand
*1  $25.00 Add to Cart
Understanding 403(b) Plans
On Demand
*1  $25.00 Add to Cart
Client Suitability
On Demand
*1  $25.00 Add to Cart
Ethics in Institutional Sales
On Demand
*1  $25.00 Add to Cart
Communications with the Public for the Registered Rep
On Demand
*1  $25.00 Add to Cart
Investments: ETFs
On Demand
*1  $25.00 Add to Cart
Research Analysts Professional Responsibility and Rule 2711 (Interactive)
On Demand
*1  $25.00 Add to Cart
Unit Investment Trusts (Interactive)
On Demand
*2  $25.00 Add to Cart
Understanding the Rules of FINRA (Interactive)
On Demand
*2  $50.00 Add to Cart
Wrap Fee Accounts (Interactive)
On Demand
*2  $25.00 Add to Cart
Variable Annuities: Advanced (Interactive)
On Demand
*2  $25.00 Add to Cart
Introduction to Research Analysts - Rule 2711 and Professional Responsibility
On Demand
*1  $25.00 Add to Cart
Compliance Issues for Investment Bankers (Interactive)
On Demand
*2  $25.00 Add to Cart
Ethics for Financial Professionals (Interactive)
On Demand
*2  $25.00 Add to Cart
Annuities
On Demand
$25.00 Add to Cart
FINRA and Back Office Functions (Interactive)
On Demand
*2  $25.00 Add to Cart
Supervisory Controls and Procedures under NASD Rules 3010, 3012 and FINRA Rule 3130 (Interactive)
On Demand
*2  $25.00 Add to Cart
Advertising - Financial Professionals (Interactive)
On Demand
*1  $25.00 Add to Cart
Social Media in a Business Environment (Interactive)
On Demand
*2  $25.00 Add to Cart
Brokerage, Mutual Fund and Variable Product Sales Practices
On Demand
*1  $25.00 Add to Cart
The Dodd-Frank Wall Street Reform and Consumer Protection Act (Interactive)
On Demand
*2  $25.00 Add to Cart
Anti-Money Laundering: General (Interactive)
On Demand
*1  $25.00 Add to Cart
Introduction to TRACE (Interactive)
On Demand
*1  $25.00 Add to Cart
Municipal Securities: Sales Practices and Supervisory Requirements (Interactive)
On Demand
*2  $50.00 Add to Cart
Protecting Senior Investors (Interactive)
On Demand
*2  $25.00 Add to Cart
Options Communications Rules (Interactive)
On Demand
*2  $25.00 Add to Cart
Anti-Money Laundering: Advanced (Interactive)
On Demand
*1  $25.00 Add to Cart
Anti-Money Laundering for Financial Professionals (Interactive)
On Demand
*2  $25.00 Add to Cart
Advanced Supervision (Interactive)
On Demand
*2  $25.00 Add to Cart
Suitability (Interactive)
On Demand
*1  $25.00 Add to Cart
Ethics in Institutional Sales (Interactive)
On Demand
*1  $25.00 Add to Cart
Anti-Money Laundering: Institutional Issues (Interactive)
On Demand
*2  $50.00 Add to Cart
Institutional Suitability (Interactive)
On Demand
*1  $25.00 Add to Cart
FINRA Communication Standards
On Demand
*1  $25.00 Add to Cart
Code of Ethics for the Investment Advisory Firm
On Demand
*1  $25.00 Add to Cart
Coping with SEC Rule 151A
On Demand
*1  $25.00 Add to Cart
Red Flags for Seniors (Interactive)
On Demand
*2  $25.00 Add to Cart
Customer Information Protection (Interactive)
On Demand
*1  $25.00 Add to Cart
Understanding the Regulation of Electronic Communication (Interactive)
On Demand
*2  $25.00 Add to Cart
Vulnerable Clients: Identity Theft and Financial Exploitation (Interactive)
On Demand
*2  $25.00 Add to Cart
Anti-Money Laundering for Supervisors (Interactive)
On Demand
*1  $25.00 Add to Cart
Variable Annuities – General (Interactive)
On Demand
*2  $25.00 Add to Cart
Brokerage, Mutual Fund and Variable Product Sales Practices (Interactive)
On Demand
*2  $25.00 Add to Cart
Code of Ethics for the Investment Advisory Firm (Interactive)
On Demand
*2  $25.00 Add to Cart
Preventing Insider Trading: Laws, Compliance, Penalties (Compliance Snapshot)
On Demand
*1  $50.00 Add to Cart
Fiduciary Responsibility and Retirement Planning (Interactive)
On Demand
*1  $25.00 Add to Cart
Institutional Ethics: Surveying the Regulatory Landscape (Interactive)
On Demand
*2  $25.00 Add to Cart
Introduction to Research Analysts: Rule 2711 and Professional Responsibility (Interactive)
On Demand
*2  $25.00 Add to Cart
Municipal Securities (Interactive)
On Demand
*1  $25.00 Add to Cart
Outside Business Activities: Regulation and Supervision (Interactive)
On Demand
*2  $25.00 Add to Cart
Preventing Insider Trading (Comprehensive Course)
On Demand
*1  $50.00 Add to Cart
Immediate Supervision of Research Analysts (Interactive)
On Demand
*1  $25.00 Add to Cart
Variable Annuities for Supervisors (Interactive)
On Demand
*2  $25.00 Add to Cart
Ethics and Research Analysts (Interactive)
On Demand
*2  $25.00 Add to Cart
Preventing Insider Trading: Introduction to Insider Trading (Compliance Snapshot)
On Demand
*1  $50.00 Add to Cart
Preventing Insider Trading: Laws, Compliance, Penalties (Compliance Snapshot)
On Demand
*0.25  $50.00 Add to Cart
Preventing Insider Trading (Comprehensive Course)
On Demand
*1  $50.00 Add to Cart
Preventing Insider Trading: Introduction to Insider Trading (Compliance Snapshot)
On Demand
*0.25  $50.00 Add to Cart
401(k)
On Demand
$25.00  $1.00 Add to Cart
Commercial General Liability Insurance
On Demand
*3 Hour(s) $30.00 Add to Cart
Individual Retirement Account
On Demand
*4 Hour(s) $15.00 Add to Cart