This course examines the due diligence required to determine whether it is appropriate to approve a customer to trade options.

This course reviews obligations pertaining to investor funds during contingency offerings with an emphasis on areas of particular concern per FINRA findings.

This course identifies content requirements for equity research reports. It also describes specific disclosure obligations regarding risk factors and valuation methods.

This course defines social media in the context of registered representatives’ communications with the public, and highlights ways to mitigate key social media risks. It also provides guidance on applying best practices when using social media.

This course reviews the segregation requirements in Securities Exchange Act Rule 15c3-3, focusing on three main components: possession or control, reserve computation, and exemptions.

This course focuses on supervising registered representatives’ social media use and ways to mitigate key social media risks. It also highlights requirements for recognizing and handling social media-based customer complaints.

This course reviews the amended recordkeeping requirements in Securities Exchange Act Rule 17a-4(f), (i) and (j).

This course reviews the concept of financial exploitation and explores the tools and strategies that are in place to protect vulnerable investors and support registered persons in their day-to-day work with these investors.

This course describes common cybersecurity threats such as phishing, hacking and account takeovers, and highlights the red flags of these scams. It also provides best practices to mitigate and report these threats.

This course examines when and how to apply SEC Regulation BI. Areas of focus include factors registered representatives should consider when making a recommendation to a customer and disclosures that must be provided to customers.