FINRA Firm Element Training
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FINRA (NASD) representatives and employees who are licensed with a Series 7, Series 6 or other Broker Dealer license must take Firm Element continuing education. Each brokerage firm must comply with the Finra firm element CE regualtions. Courses are normally taken per subject as needed.
Series 7 License
The Series 7 is a license that requires periodic continuing education. Since this license allows the person to sell most types of investments and securities, the firm element needed will cover many topics.
These could include: Investment Analysis, Qualified Retirement Plans, Money Laundering, and other rules and regulations.
Sample Subjects:
Creating Value Through Financial Management - 6 hours approved. This course provides a concise overview of how financial management is used to create higher market values for an organization. Since the information contained within these lessons deals with advanced topics, the user should have a good working knowledge of both accounting and financial management prior to taking this course. Creating Value Through Financial Management is recommended for 6 hours of Continuing Professional Education.
Managing Client Capital - 8 Hours. The management of client capital requires financial acumen and regulatory expertise. This course explores methods for managing your clients’ capital. Financial professionals must understand how capital is calculated on a balance sheet in order to use it to create higher market values for an organization. Because of the fiduciary obligations and regulatory requirements inherent with managing client funds, this course also presents the basics of consumer protection, various federal consumer protection laws and anti-money laundering regulations affecting financial institutions.
Anti Money Laundering Firm Element Training - Financial institutions are at the forefront of the battle against the money launderers. It is not only their institutions that the money launderers target to use in their various nefarious schemes but under current legislation they are responsible for policing the financial dealings and reporting any suspicious transactions. This course will dwell upon the new regulatory environment of the securities industry vis a vis money laundering, specifically the USA Patriot Act 2001. The course aims to highlight the key aspects of the USA Patriot Act namely, Suspicious Activity Reporting (SAR) and Know your Customer (KYC)
BEGIN FIRM ELEMENT SUBJECTS NOW
Series 6 - Series 24 and others
With each license comes with it special needs and subjects to take. A Series 6 Rep may need or choose to take courses on Annuities, Mutual Funds. The Series 24 may require supervisory courses and trading.
Online University from American Investment Training
Begin Individual Courses from American Investment Training's course list for firm element CE. Free Demo look at each topic. Courses as low as $25 and 2-12 hour continuing education credit
VIEW FULL COURSE LIST HERE
Initial Licensing Links
Series 7 Training
Series 24 Training
Series 65 Courses
All Other Finra Nasd Licenses
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