Continuing EduCation Course Catalog - Second Quarter 2021 - Brokerage Compliance Insurance Products Supervisory

Sep 25, 2026

Continuing Education Course Catalog for the Second Quarter 2021 covering Brokerage Compliance Insurance Products Supervisory training. The curriculum lists AML and anti-financial-crime modules (CDD, retail and institutional topics, CAT, audit trail, and related supervisory guidance) plus supervisory and compliance programs for investors and advisers. It also includes cybersecurity and FINRA-related best practices, ethical decision-making for investment professionals and associated persons, fraud prevention, suitability and supervision topics, and regulatory areas such as Reg BI, Regulation SHO, and SEC risk alerts.

LanguageEnglish

CategoryExam

FormatPDF

Pages17

Reading Time43 min

AccessFree to download

Course Catalog Overview

Continuing Education (Second Quarter 2021)

Brokerage Compliance Insurance Products Supervisory

AML, Ethics, Cybersecurity, and FINRA Topics

Suitability, Supervision, and Regulatory Rules

Continuing EduCation Course Catalog Second Quarter 2021 Continuing EduCation CoursE Catalog Brokerage Compliance Insurance Products Supervisory Advising Senior Investors • | AML – Customer Due Diligence (CDD) Rule (NEW) | • | | --- | --- | | AML-Institutional (Core) | • | | Anti-Bribery Legislation (NEW) | • | | Anti-Money Laundering 3.6 – Retail | • | | Anti-Money Laundering 3.7 – Retail | • | | AML and Financial Crime – Retail 2020 (NEW) | • | | Anti-Money Laundering – Retail 2020 (NEW) | • | | Anti-Money Laundering 3.6 – Institutional | • | | Anti-Money Laundering—Institutional 3.7 | • | | AML and Financial Crime – Institutional 2020 (NEW) | • | | Becoming an Investment Adviser Representative (IAR) • | | | Branch Office Inspections | • | | Business Entertainment | • | | Common Compliance Issues for Broker-Dealers-3.4 | • | | Communicating with Institutional Investors | • | | Consolidated Audit Trail (CAT) (NEW) | • | | Corporate Culture and Supervision – FINRA
Enforcement Actions | • | | Customer Communications for the Institutional
Professional | • | | Customer Communications for the Retail Professional | • | Cybersecurity – FINRA Findings and Recommended Practices • Copyright © Securities Training Corporation. All Rights Reserved. Page – 1 Continuing EduCation CoursE Catalog Deferred Variable Annuities – Suitability and Supervision (Rule 2330) Brokerage Compliance Insurance Products Supervisory • | Detecting Rogue Traders – Red Flags for Supervisors
(NEW) | | • | | --- | --- | --- | | Digital Communications | | • | | E-mail – Important Compliance Considerations | • | | | Equity Options | | • | | Equity Securities | | • | | Ethical Considerations Facing Investment Adviser
Representatives | • | | | Ethical Considerations for Operations Personnel | • | | | Ethical Decision Making for Commodities
Professionals (Satisfies NFA Rule 2.9 Requirements) | • | | | Ethical Decision Making for Financial Professionals | • | | | Ethical Decision Making for Associated Persons of Registered Swap Dealers (NEW) | • | | | Ethical Issues Facing Registered Representatives | • | | | Financial Exploitation of Vulnerable Adults | • | | | FINRA Cybersecurity Report 2018 | • | | | FINRA Enforcement Actions – Red Flags for
Supervisors | | • | | FINRA Suitability Rules | • | | | FINRA Equity and Debt Research Rules | • | | | 529 Savings Plans – Suitability and Share Classes v02 | • | | | Fixed-Income Trade Surveillance (NEW) | • | • | | Front-Running Block Transactions | • | | Gifts and Gratuities • Copyright © Securities Training Corporation. All Rights Reserved. Page – 2 Continuing EduCation CoursE Catalog Brokerage Compliance Insurance Products Supervisory Hedge Funds – Suitability and Sales Practices • | High-Frequency Trading and Market Regulation | • | | | --- | --- | --- | | Identity Theft and Cybersecurity 2019 | | • | | Insider Trading Core (NEW) | | • | | Insider Trading 1.0 | | • | | Insider Trading 3.0 | | • | | Institutional Sales and Trading Practices – Debt
(NEW) | | • | | Institutional Sales and Trading Practices – Equities
(NEW) | | • | | Introduction to Securities Analysis | | • | | Investment Adviser Representatives (IARs)– Conflicts of Interest and Fiduciary Obligations | | • | | Investment Adviser Representatives (IARs)– Dealing with Customers | | • | | Investment Advisers – Avoiding Common Compliance Problems 3.4 | | • | | IRA Rollovers | | • | | Leveraged Exchange-Traded Funds | | • | | Market Manipulation – Spoofing and Layering | • | | | Markups for Fixed-Income Securities | • | | | Master/Sub-Accounts | • | | | Municipal Securities – Rule Changes and Recent Developments | | • | | Mutual Fund Sales Charge Discounts and Fee Waivers | | • | | New Issue Rule (NEW) | | • | Non-Traded REITs, Direct Participation Programs, and Business Development Companies • Copyright © Securities Training Corporation. All Rights Reserve

FAQs

该课程目录包含哪些主要主题类别？

目录主要覆盖AML与反洗钱/金融犯罪相关课程、网络安全与FINRA发现/最佳实践、投资顾问代表与从业人员的伦理要求，以及适当性与监管规则等内容。

AML课程里包含哪些与客户尽职调查（CDD）相关的学习模块？

目录列出了AML – Customer Due Diligence（CDD）Rule（NEW）以及面向机构（Institutional）与零售（Retail）的多类反洗钱与金融犯罪课程，并包含特定年份版本（如2020）与新规则标注（NEW）。

目录如何覆盖FINRA与合规监督相关要求？

通过列出Cybersecurity – FINRA Findings and Recommended Practices、FINRA Enforcement Actions – Red Flags for Supervisors、以及多项FINRA Suitability/Equity and Debt Research Rules等课程条目来覆盖监管与监督重点。

Sep 25, 2026

Uploaded by Riley West