Firm Element Courses

Requirements for all 50 States

NASD Membership and Registration Rule1120 (b) (the “Rule”) sets forth requirements for industry professionals to participate in a firm sponsored training program. Under the terms of the Rule, each firm is required to conduct a needs analysis annually, then prepare and implement an annual training plan to provide training to all registered persons with direct contact with customers, and the immediate supervisors of those registered individuals. The training must meet minimum standards and focus on the particular investment products and services that each firm offers its customers. Currently, there are no state requirements for continuing education training of securities professionals beyond the present NASD requirements. Firms which fail to develop sufficient continuing education programs, and or make available to registered employees continuing education programs, and individuals who fail to comply with their firm’s educational program may be subject to fines, suspensions and or expulsion by the NASD for failure to comply with NASD Conduct Rules 2110 and Membership and Registration Rule 1120.

Individual Courses include:

• - Managing Corporate Records
• - Advanced Supervision
• - Consumer Protection Law
• - Mergers and Acquisitions Part I
• - Creating Value Through Innovation
• - Corporate Pension Plans
• - Bank Secrecy Act
• - Keogh (HR-10) Plans
• - Introduction to TRACE
• - REITS
• - Gramm Leach Bliley
• - New Business Development
• - Telephoning
• - Closing with Confidence
• - Investment Risk and Policy
• - Managing Electronic Communication
• - Arbitration and Mediation
• - Dealing with Conflict and Confrontation
• - Dealing with Difficult People
• - Suitability
• - The Management of Capital
• - 529 Plans
• - 401(k)
• - Capital Budgeting Analysis
• - Qualified Retirement Plans and IRAs
• - Evaluating Financial Performance
• - Mergers and Acquisitions Part II
• - Mergers and Acquisitions Part III
• - Anti-Money Laundering
• - Management of Capital
• - New Employee
• - Asset Management
• - Commercial General Liability Insurance
• - Wills and Trusts
• - Estate Planning Basic
• - Understanding Securities Trading
• - Analyzing Financial Statements Advanced
• - Medicare
• - Business Writing
• - HIPAA for Insurance Professionals
• - Annuities
• - Margin Accounts
• - Prospecting, Selling & Closing
• - Life, Health, Disability and Long Term Care
• - Investment Analysis
• - Equities
• - Estate Planning Advanced
• - Agency Operations
• - Employment Law
• - Creating Value Through Financial Management
• - Understanding the Rules of NASD
• - Introduction to Property and Casualty and the Insurance Contract
• - Understanding Economic Components
• - Compliance Issues for Investment Bankers
• - Understanding Different Types of Security Investments
• - Property Insurance
• - Ethics For Insurance Professionals Advanced