Search

Online Learning

Home > Education & Programs > Online Learning > E-Learning Courses
Printer-Friendly E-Learning Courses

FINRA 's e-learning courses are provided for a nominal fee and include real-time completion tracking, certificates of completion and optional post-course assessments. E-learning courses can be used for firm element and other compliance training or simply to remain current on key compliance issues.

These courses are available in two formats:

• Video tutorials  — about 15 minutes in length, similar to FINRA's Webcasts for Frontline Staff
  
  
• Text-based tutorials — more in-depth, 25- to 30-minute modules with decision-based learning scenarios

Library Subscriptions If you are considering purchasing three or more courses, a Library Subscription may be the most cost-effective option. The Library Subscription grants you access to FINRA's entire growing library of e-learning courses, including all newly released courses, for a period of one year from the date of the subscription purchase. The Library Subscription FINRA-member rate is $45 per user, and the non-member rate is $75 per user. 

Returning users can login to access courses.

Featured: New and updated Variable Annuities courses are now available to support compliance with NASD Rule 2821.

• Anti-Money Laundering E-Learning Series
  
  
• 529 College Savings Plans Sales Practices (ELC122)
  
  
• Avoiding Improper Payments in International Business Practices (ELC110)
  
  
• Books and Records (ELC131)
  
  
• Business Gifts (VLC001) ^{Video Tutorial} 
  
  

• Communications with the Public: An Introduction to Compliance Issues  (ELC124)
  
  

• Debt Mark-Ups (ELC143)
  
  

• Fixed Income Suitability: Retail Sales Practices  (ELC125)
  
  
• Hedge Funds: Understanding Sales Practice Responsibilities (ELC118)
  
  
• Mutual Funds Sales Practice: Share Classes and Breakpoints  (ELC123)
  
  
• Outside Business Activities (ELC132)
  
  
• Retail Branch Office Supervision: Compliance with Regulations (ELC126)
  
  
• Retail Branch Office Supervision: Understanding Supervisory Responsibilities (ELC127)
  
  
• Retail Supervision: Sales to Senior Investors (ELC139)
  
  
• Senior Investor Suitability Considerations (ELC134)
  
  
• Supervision: Obligations for Firms with Institutional Clients  (ELC116)
  
  
• Supervisory Considerations for Working with Seniors (VLC002) ^{Video Tutorial}
  
  
• Suitability Issues: Considerations for Product Exchanges (VLC003) ^{Video Tutorial} 
  
  
• Suitability Issues: An Institutional Focus (VLC012) ^{Video Tutorial}

Variable annuities e-learning courses:

• Variable Annuities: Requirements for Representatives (VLC004) ^{Video Tutorial} 
  
  
• Variable Annuities: Requirements for Supervisors (VLC005) ^{Video Tutorial} 
  
  
• Variable Annuities: Sales Practice Issues for 1035 Exchanges (ELC119)
  
  
• Variable Annuities: Suitability and Disclosure for New Purchases (ELC113)

Available in 2008:

• Anti-Money Laundering—Institutional (ELC144)
  
  
• Anti-Money Laundering—Retail (ELC145)
  
  
• Anti-Money Laundering: Responsibilities of Operations Staff (ELC150)
  
  
• Business Entertainment (VLC006) ^{Video Tutorial}
  
  
• Conflicts of Interest (VLC007) ^{Video Tutorial}
  
  
• Life of an Equity Trade (VLC008) ^{Video Tutorial}
  
  
• MSRB Issues (VLC009) ^{Video Tutorial}
  
  
• Private Placements (VLC010) ^{Video Tutorial}
  
  
• Structured Products (VLC011) ^{Video Tutorial}

Additional 2008 e-learning topics will be added throughout the year.
 

View our Conferences and Classroom Learning by event date.

Minimum system requirements

 
Questions or Comments? Contact Us