This course reviews the necessary procedures to complete a balance sheet and calculate net capital. It also examines the completion of FOCUS reports and event-triggered reporting requirements.

This course focuses on recognizing anti-money laundering (AML) red flags and other areas of concern in relation to customer account opening and suspicious activity in customer accounts. It also provides guidance on escalating issues to avoid the consequences of fraud and AML violations.

This course reviews responsibilities with customer orders to avoid two trading violations: front running and anticipatory hedging.

This course explores some of the many ways in which FINRA Rule 2241 supports objective research by preventing improper influence between investment banking and research departments.

This course reviews information barriers and how to uphold them to prevent material nonpublic information (MNPI) misuse.

This course reviews two types of order routing disclosure requirements featured in Rule 606 of SEC Regulation NMS:

• order routing information required in public quarterly reports per amended Rule 606(a); and
• not-held order handling information required upon a customer’s request per Rule 606(b)(3).

This overview of Regulation BI (Best Interest) focuses on issues relevant to registered representatives, including:

• applicability of the rule;
• what is considered a recommendation; and
• factors to be considered when making a recommendation.

The course also discusses the appropriate disclosure to provide customers and how to mitigate conflicts of interest.

This course discusses effective practices to protect electronic and physical data in the workplace and while working remotely.