Webcasts for Frontline Staff
FINRA's webcasts are provided at no cost to frontline staff who are interested in learning more about industry issues. Compliance managers and other staff should visit the "What to Expect" Webcast Series page. Investors who wish to access industry information and investor services are encouraged to visit the Investor Information area of our site.
These brief online tutorials are available on-demand and take less than 10 minutes to complete. Webcasts can be used for training purposes or simply to remain current on key compliance issues.
In addition, some select webcasts are available as SCORM compliant e-learning video tutorials with optional assessment testing, completion tracking and certificates of completion.
Please be aware that FINRA now offers tracking through the Report Center.
New Webcasts:
- Anti-Money Laundering: Due Diligence for Private Banking Accounts – Published September 8, 2009
- Anti-Money Laundering – Institutional: Due Diligence for Foreign Correspondent Accounts – Published July 20, 2009
- MSRB Supervision Rules – Published May 18, 2009
- Life of an Equity Trade – Published November 17, 2008
Other FINRA Webcasts:
- 529 Savings Plans: The In-State Versus Out-of-State Decision
- Anti-Money Laundering: Do You Know Your Customer?
- Anti-Money Laundering: Examples of Red Flags
- Anti-Money Laundering – Institutional: Know Your Customer – Published June 23, 2008
- Anti-Money Laundering for Operations Staff – Published July 7, 2008
- Bond Sales Practices: Key Risks to Consider
- Books and Records: What a Registered Representative Needs to Know
- Business Gifts – Published December 18, 2007
- Communications with the Public: What a Registered Representative Should Know
- Conflicts of Interest – Published September 29, 2008
- Considerations for Working with Seniors
- Customer Suitability Considerations
- Debt Mark-ups – Published July 28, 2008
- Equity-Indexed Annuities Considerations
- Ethics: The Importance of Ethical Behavior
- Important Issues in Customer Data Protection
- Life Settlements
- Margin Accounts
- Mutual Fund Breakpoints
- New Products Suitability Considerations
- Outside Business Activities & Private Security Transactions
- Private Placements – Published August 25, 2008
- Structured Products – Published October 20, 2008
- Suitability Issues: An Institutional Focus
- Suitability Issues: Considerations for Product Exchanges
- Supervisory Considerations for Working with Seniors – Published January 29, 2008
- Variable Annuities: Requirements for Supervisors – Published February 26, 2008
- Variable Annuities: Requirements for Representatives – Published February 26, 2008
- Variable Annuities: Suitability Issues
Check back for the following new webcasts, which will be launched periodically throughout the year. We also welcome your feedback and suggestions for future webcast topics.
- Business Entertainment
