[{"data":1,"prerenderedAt":-1},["ShallowReactive",2],{"detail-sidebar-cat-0-en-105":3,"doc-seo-389941-105":59,"doc-detail-389941-en":131},{"code":4,"msg":5,"data":6},0,"success",[7,13,18,23,28,33,38,43,48,51,55],{"id":8,"doc_module":4,"doc_module_name":9,"category_name":10,"show_sort_weight":11,"slug":12},1,"Document","Story & Novel",90,"story-novel",{"id":14,"doc_module":4,"doc_module_name":9,"category_name":15,"show_sort_weight":16,"slug":17},2,"Literature",80,"literature",{"id":19,"doc_module":4,"doc_module_name":9,"category_name":20,"show_sort_weight":21,"slug":22},4,"Exam",70,"exam",{"id":24,"doc_module":4,"doc_module_name":9,"category_name":25,"show_sort_weight":26,"slug":27},5,"Comic",60,"comic",{"id":29,"doc_module":4,"doc_module_name":9,"category_name":30,"show_sort_weight":31,"slug":32},6,"Technology",50,"technology",{"id":34,"doc_module":4,"doc_module_name":9,"category_name":35,"show_sort_weight":36,"slug":37},7,"Healthcare",40,"healthcare",{"id":39,"doc_module":4,"doc_module_name":9,"category_name":40,"show_sort_weight":41,"slug":42},8,"Research & Report",30,"research-report",{"id":44,"doc_module":4,"doc_module_name":9,"category_name":45,"show_sort_weight":46,"slug":47},9,"Religion & Spirituality",20,"religion-spirituality",{"id":46,"doc_module":4,"doc_module_name":9,"category_name":49,"show_sort_weight":46,"slug":50},"World Cup","world-cup",{"id":52,"doc_module":4,"doc_module_name":9,"category_name":53,"show_sort_weight":52,"slug":54},10,"Lifestyle","lifestyle",{"id":56,"doc_module":4,"doc_module_name":9,"category_name":57,"show_sort_weight":24,"slug":58},19,"General","general",{"code":4,"msg":60,"data":61},"ok",{"site_id":62,"language":63,"slug":64,"title":65,"keywords":66,"description":67,"schema_data":68,"social_meta":124,"head_meta":126,"extra_data":128,"updated_unix":130},105,"en","continuing-education-course-catalog-second-quarter-2021-brokerage-compliance-insurance-products-supervisory","Continuing EduCation Course Catalog - Second Quarter 2021 - Brokerage Compliance Insurance Products Supervisory","","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.",{"@graph":69,"@context":123},[70,84,106],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":20,"@type":76,"position":81},"https://docshare.wps.com/document/exam/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/continuing-education-course-catalog-second-quarter-2021-brokerage-compliance-insurance-products-supervisory/389941/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":99,"encodingFormat":97,"isAccessibleForFree":100,"interactionStatistic":101},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/continuing-education-course-catalog-second-quarter-2021-brokerage-compliance-insurance-products-supervisory/389941.png","ImageObject",300,407,{"name":92,"@type":93},"Riley West","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-10-28","2026-09-25",true,{"@type":102,"interactionType":103,"userInteractionCount":105},"InteractionCounter",{"@type":104},"ViewAction",12,{"@type":107,"mainEntity":108},"FAQPage",[109,115,119],{"name":110,"@type":111,"acceptedAnswer":112},"该课程目录包含哪些主要主题类别？","Question",{"text":113,"@type":114},"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。","Answer",{"name":116,"@type":111,"acceptedAnswer":117},"AML课程里包含哪些与客户尽职调查（CDD）相关的学习模块？",{"text":118,"@type":114},"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）。",{"name":120,"@type":111,"acceptedAnswer":121},"目录如何覆盖FINRA与合规监督相关要求？",{"text":122,"@type":114},"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。","https://schema.org",{"og:url":83,"og:type":125,"og:title":65,"og:site_name":95,"og:description":67},"article",{"robots":127,"canonical":83},"index,follow",{"doc_id":129,"site_id":62},389941,1790532170,{"code":4,"msg":5,"data":132},{"doc_id":129,"user_id":133,"nickname":92,"user_avatar":134,"doc_module":4,"category_id":19,"category_name":20,"doc_title":65,"doc_description":67,"doc_content":135,"file_id":136,"file_url":137,"file_type":138,"file_size":139,"view_count":105,"is_deleted":4,"is_public":8,"is_downloadable":8,"audit_status":8,"page_count":140,"language":141,"language_code":63,"site_id":62,"html_lang":63,"table_of_contents":142,"faqs":143,"seo_title":144,"seo_description":67,"update_tm":145,"read_time":146,"preview_page_count":4},1099523885074,"https://ap-avatar.wpscdn.com/davatar_9964176cb1d06d4a9deccf72a44ae3dc","Continuing EduCation Course Catalog  \nSecond Quarter 2021  \nContinuing EduCation CoursE Catalog  \nBrokerage Compliance Insurance Products Supervisory  \nAdvising Senior Investors  \n•  \n\n| AML – Customer Due Diligence (CDD) Rule (NEW) | • |\n| --- | --- |\n| AML-Institutional (Core) | • |\n| Anti-Bribery Legislation (NEW) | • |\n| Anti-Money Laundering 3.6 – Retail | • |\n| Anti-Money Laundering 3.7 – Retail | • |\n| AML and Financial Crime – Retail 2020 (NEW) | • |\n| Anti-Money Laundering – Retail 2020 (NEW) | • |\n| Anti-Money Laundering 3.6 – Institutional | • |\n| Anti-Money Laundering—Institutional 3.7 | • |\n| AML and Financial Crime – Institutional 2020 (NEW) | • |\n| Becoming an Investment Adviser Representative (IAR) • |  |\n| Branch Office Inspections | • |\n| Business Entertainment | • |\n| Common Compliance Issues for Broker-Dealers-3.4 | • |\n| Communicating with Institutional Investors | • |\n| Consolidated Audit Trail (CAT) (NEW) | • |\n| Corporate Culture and Supervision – FINRA\u003Cbr>Enforcement Actions | • |\n| Customer Communications for the Institutional\u003Cbr>Professional | • |\n| Customer Communications for the Retail Professional | • |\n\nCybersecurity – FINRA Findings and Recommended Practices  \n•  \nCopyright © Securities Training Corporation. All Rights Reserved. Page – 1  \nContinuing EduCation CoursE Catalog  \nDeferred Variable Annuities – Suitability and Supervision (Rule 2330)  \nBrokerage Compliance Insurance Products Supervisory  \n•  \n\n| Detecting Rogue Traders – Red Flags for Supervisors\u003Cbr>(NEW) |  | • |\n| --- | --- | --- |\n| Digital Communications |  | • |\n| E-mail – Important Compliance Considerations | • |  |\n| Equity Options |  | • |\n| Equity Securities |  | • |\n| Ethical Considerations Facing Investment Adviser\u003Cbr>Representatives | • |  |\n| Ethical Considerations for Operations Personnel | • |  |\n| Ethical Decision Making for Commodities\u003Cbr>Professionals (Satisfies NFA Rule 2.9 Requirements) | • |  |\n| Ethical Decision Making for Financial Professionals | • |  |\n| Ethical Decision Making for Associated Persons of Registered Swap Dealers (NEW) | • |  |\n| Ethical Issues Facing Registered Representatives | • |  |\n| Financial Exploitation of Vulnerable Adults | • |  |\n| FINRA Cybersecurity Report 2018 | • |  |\n| FINRA Enforcement Actions – Red Flags for\u003Cbr>Supervisors |  | • |\n| FINRA Suitability Rules | • |  |\n| FINRA Equity and Debt Research Rules | • |  |\n| 529 Savings Plans – Suitability and Share Classes v02 | • |  |\n| Fixed-Income Trade Surveillance (NEW) | • | • |\n| Front-Running Block Transactions | • |  |\n\nGifts and Gratuities  \n•  \nCopyright © Securities Training Corporation. All Rights Reserved. Page – 2  \nContinuing EduCation CoursE Catalog  \nBrokerage Compliance Insurance Products Supervisory  \nHedge Funds – Suitability and Sales Practices  \n•  \n\n| High-Frequency Trading and Market Regulation | • |  |\n| --- | --- | --- |\n| Identity Theft and Cybersecurity 2019 |  | • |\n| Insider Trading Core (NEW) |  | • |\n| Insider Trading 1.0 |  | • |\n| Insider Trading 3.0 |  | • |\n| Institutional Sales and Trading Practices – Debt\u003Cbr>(NEW) |  | • |\n| Institutional Sales and Trading Practices – Equities\u003Cbr>(NEW) |  | • |\n| Introduction to Securities Analysis |  | • |\n| Investment Adviser Representatives (IARs)– Conflicts of Interest and Fiduciary Obligations |  | • |\n| Investment Adviser Representatives (IARs)– Dealing with Customers |  | • |\n| Investment Advisers – Avoiding Common Compliance Problems 3.4 |  | • |\n| IRA Rollovers |  | • |\n| Leveraged Exchange-Traded Funds |  | • |\n| Market Manipulation – Spoofing and Layering | • |  |\n| Markups for Fixed-Income Securities | • |  |\n| Master/Sub-Accounts | • |  |\n| Municipal Securities – Rule Changes and Recent Developments |  | • |\n| Mutual Fund Sales Charge Discounts and Fee Waivers |  | • |\n| New Issue Rule (NEW) |  | • |\n\nNon-Traded REITs, Direct Participation Programs, and Business Development Companies  \n•  \nCopyright © Securities Training Corporation. All Rights Reserve","cbCaigPSxwVJjQH5","https://ap.wps.com/l/cbCaigPSxwVJjQH5","pdf",441689,17,"English","# Course Catalog Overview\n## Continuing Education (Second Quarter 2021)\n## Brokerage Compliance Insurance Products Supervisory\n## AML, Ethics, Cybersecurity, and FINRA Topics\n## Suitability, Supervision, and Regulatory Rules","[{\"question\":\"该课程目录包含哪些主要主题类别？\",\"answer\":\"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。\"},{\"question\":\"AML课程里包含哪些与客户尽职调查（CDD）相关的学习模块？\",\"answer\":\"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）。\"},{\"question\":\"目录如何覆盖FINRA与合规监督相关要求？\",\"answer\":\"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。\"}]","Continuing EduCation Course Catalog - Second Quarter 2021 - Brokerage Compliance Insurance Products Supervisory | PDF",1790328592,43]