This course explains how to identify a distribution under SEC Regulation M’s Rule 101 and how to comply with the applicable restricted period, including providing notification to FINRA.

Estimated Completion Time: 15 Minutes

This course reviews the regulatory obligations for individuals entering short orders and examines the red flags of manipulative behavior related to these trades.

Estimated Completion Time: 20 Minutes

This course reviews MSRB Rule G-26, which outlines the requirements governing the transfer of municipal securities and establishes a standardized process among firms.

Estimated Completion Time: 10 Minutes

This course focuses on approval, distribution and recordkeeping requirements for institutional options communications.

Estimated Completion Time: 15 Minutes

This course gives learners the opportunity to practice applying supervisory considerations related to unapproved communication methods.

Estimated Completion Time: 15 Minutes

In this course, learners will explore why it’s critical to use firm communication tools appropriately and how they can communicate compliantly.

Estimated Completion Time: 10 Minutes

This course explores how successful customer screening—including recognizing and reporting suspicious activity—helps registered representatives maintain accurate records and prevent financial crimes. 

Estimated Completion Time: 15 Minutes

This course focuses on the first component of SEC Regulation BI’s Care Obligation: the obligation to understand the investment or investment strategy being recommended (“Reasonable Basis”).

In this course, learners will apply the SEC's guidance on understanding an investment or investment strategy and explore effective practices for ensuring that registered persons understand the investment or investment strategy.

Estimated Completion Time: 15 Minutes