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AML Audit Review Program

The AML audit review program is comprehensive and easy to follow audit review program that can be used by an individual within your organization to conduct the AML independent review.

Price: US $300 Media Type: Microsoft Word

The audit review program has been segmented into two sections. The first section ("Audit Overview") will help the auditor determine how the anti-money laundering activity is reviewed and the general level of management oversight. The procedures in the second section ("Review Functions") supplement the "Audit Overview" section and will typically be used for more in-depth reviews of anti-money laundering areas.

What are some of the Audit Objectives?

To determine the quality and adequacy of the AML program.

Does the program address independent review and presentation of findings?

Does the program address the creation of internal controls, and procedures to detect money laundering?

Does the program require the filing of the necessary forms?

What are some of the items in the Audit Overview?

Most recent regulatory examination report addressing AML matters and management's response to significant deficiencies.

Strategic or business plan regarding AML initiatives for the broker-dealer.

All written policies and procedures related to AML.

A description of the risk measurement and monitoring system for AML activities and a copy of all related compliance and operations reports.

Current organizational or flow chart for the Firm's AML duties/responsibilities.

Back Ground Information

On October 26, 2001, the President signed the United and Strengthening of America Act by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (PATRIOT Act). Title III of the PATRIOT Act, referred to as the International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001, imposes obligations on broker-dealers under new anti-money laundering (AML) provisions and amendments to the existing Bank Secrecy Act (BSA) requirements.

According to regulation, Broker-Dealers, Investment Advisers, Banks and other financial institutions shall annually ensure that the implemented AML program fits the necessary rules and regulations of the Money Laundering Abatement Act and other areas of the Bank Secrecy Act. The firm shall accomplish this by reviewing the procedures, employee compliance with procedures, the clearing firm's compliance with the procedures, and the program's compliance with the Act.

Supervisor Control System Audit & Annual CEO Certification Program (FINRA Rules 3012 and 3013)

The Supervisor Control System Audit & Annual CEO Certification Program is comprehensive and easy to follow review module that can be used by an individual within your organization to conduct the required review and prepare the formal report to provide to the firm's senior management, Board of Directors, Audit Committee and should FINRA request a copy of the report for review.

Price: US $250 Media Type: Microsoft Word

Back Ground Information

Report required by 3012:
On an annual basis, the individual(s) responsible for the firm's supervisory control system ("system") must provide the firm's senior management with a report that describes (a) the firm's system; (b) an analysis of the internal test results of the firm's system; and (c) any new or amended supervisory procedures developed in response to the firm's internal system review/test.
Requirements of 3013 and IM-3013:
Requires CEO (or equivalent officer) to certify annually that the firm has developed and implemented adequate procedures and internal review and testing processes to allow for appropriate updating and modification of its procedures. CEO must also attest to having met with the CCO at least once during the preceding twelve (12) months to discuss these matters.

In addition to meeting with the CCO, the CEO, Board of Directors (if applicable), Audit Committee (if applicable), etc. must be presented with a copy of the report produced pursuant to Rule 3012(a)(1), as well as the identification of officers and supervisors who have responsibility for such administration. The report need not contain specific conclusions produced as a result of the review of the firm's processes. This report must be presented to the CEO prior to their 3013 certification. ***Should FINRA request a copy of the report for review, the member must submit the report in its entirety***

Communications Training Program

The Communications Training Program is designed to help registered representatives and compliance supervisors understand FINRA's rules regarding communication internally and with the public. The program describes how to deal with communication that falls into the categories of advertising, sales literature, institutional sales literature, public appearance, and electronic communications correspondence (i.e. email). This program also helps the representatives and compliance supervisors understand the approval, filing requirement and record keeping process required by FINRA when communicating internally and with the public.

Price: US $150 Media Type: Adobe PDF

Continuing Education Plan - Need Analysis (CE Plan)

FINRA Rule 1120(b)(2) requires each broker-dealer Firm to, at least annually, evaluate and prioritize its training needs and develop a written training plan. The Plan should incorporate all the necessary elements to evaluate the training needs for the broker-dealer firm including, but not limited to, the business conducted, the organizational structure, current economic outlook, past disciplinary issues, and current rules and regulations.

Capital Markets Compliance® (“CMC”) can put a plan for any size organization. Our process begins with a comprehensive needs analysis of your organization. We employ a combination of methods including interviews, reviews of internal documents, questionnaires, and surveys. This data enables us to profile your organization's lines of business, covered personnel, business initiatives, and ongoing educational initiatives. The needs analysis concludes with recommendations for content, delivery methods, scheduling, administration, and evaluation of your program.

The cost of the Plan will vary whether you request the assistance from CMC to monitor and help implement the Firm Element requirement. CMC establishes a training plan comprised of computer-based modules. Also, CMC will provide a tracking and confirmation system that will reduce the time that you will need to spend monitoring each person’s training.

CMC’s monitoring process includes sending reminders as well as reports that show you each individual’s status in their training.

CMC has found that depending on the size and scope of a firm’s business and number of covered persons, computer-based training (“CBT”) may be the best option given it is cost efficient, broad coverage of topics, and can reach geographically dispersed covered persons easily. The number of training sessions or modules implemented depends on the firm’s scope of business. For example, one session or module may satisfy a firm that offers one or two business lines, while another firm that offers an array of products or services may need to participate in several sessions or modules each year to maintain an adequate training plan.

In general, large firms with over 20-30 employees may be able to save money by organizing training classes or seminars, if it is feasible to gather all covered persons at a singular time and location with relative ease, while smaller firms might find it more cost-effective to utilize computer modules that can be completed individually and often in a shorter amount of collective time spent by the firm and covered persons. The following is a breakdown of the available products/services offered in regards to the Firm Element of Continuing Education:

CE Complete Plan Package: Includes: comprehensive needs analysis of your organization, setup of appropriate individuals with two (2) computarize-based modules via internet which you select from the Computer Trainig Courses menu for $40/ per module per individual. This package includes tracking/monitoring and reporting of each individual progress:

Price: US $850 Media Type: Adobe PDF

Quantity: By Selecting this box I Agree, to these terms and conditions Please check box.

After you add this option to your cart, please proceed to the computer training course Tab and pick two modules with separate topics for every covered individual in your organization. The Firm Element requirement applies to any person registered with your firm who has direct contact with customers in the conduct of your firm’s securities sales, trading and investment banking activities, any person registered as a research analyst, and to the immediate supervisors of such persons (“covered person”). If you are not sure which modules to chose, one of our consultants preparing your plan can help you make a decision.

CE Plan Package only: Includes: comprehensive needs analysis of your organization, Firm Element training will be coordinated, implemented and tracked by your firm:

Price: US $550 Media Type: Adobe PDF

Quantity: By Selecting this box I Agree, to these terms and conditions Please check box.

Computer Base Training Courses (CBT) Over 50 online modules to chose from!

All of the modules are $40 per module and per covered individual. If you have bought our Continuing Education Complete Package Plan, please pick two modules with separate topics for every covered individual in your organization.

Price: US $40 per module Media Type: Internet

Use this menu to quickly jump to a module:

COMPLIANCE AND SALES PRACTICES MODULES:

Anti-Money Laundering - Retail

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This module covers basic money laundering activities; the steps to take once suspicions are aroused, knowing your customers, and the consequences of noncompliance with anti-money laundering requirements. In addition, this covers Suspicious Activity Reports,Currency Transaction Reports and other documentation requirements.Top

Anti-Money Laundering – Institutional

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This module covers basic money laundering activities; the steps to take once suspicions are aroused, knowing your customers, and the consequences of noncompliance with anti-money laundering requirements. In addition, this covers Suspicious Activity Reports, Currency Transaction Reports and other documentation requirements. Top

BREAKPOINTS, SHARE CLASSES, and SUITABILITY

Customer Communications For the Institutional Professional

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A comprehensive survey of the many rules and regulations that a registered representative must observe when communicating with institutional clients. From road shows to newspaper ads, from prospectuses to e-mail, communications with the public must comply with industry rules. Included are discussions on collateralized mortgage obligations (CMOs) and security futures that are not in Customer Communications For The Retail Professional. Top

Customer Communications For the Retail Professional

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A comprehensive survey of the many rules and regulations that a registered representative must observe when communicating with retail clients. From road shows to newspaper ads, from prospectuses to e-mail, communications with the public must comply with industry rules. Included are discussions on mutual funds and variable life insurance and annuities that are not in Customer Communications For The Institutional Professional. Top

Documentation of Client Accounts and Orders

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A comprehensive guide to the procedures and maintenance of proper documents with an emphasis on the retail market. Top

Ethical Decision Making for Commodities Professionals

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Through a series of discussions and real-life scenarios, this module presents examples of ethical dilemmas and how to avoid them. Topics include knowing your firm’s ethical standards, NFA rules, dealing fairly with customers and colleagues, insider trading, and fraud. Top

Ethical Decision Making for Financial Professionals

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Through a series of discussions and case studies, this course presents examples of ethical dilemmas and how to avoid them. Topics include understanding your firm's code-of-ethics, fair dealing, insider trading, churning, and fraud. Top

Ethics and the Registered Representative

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An examination of various approaches to ethical decision-making and their application in the securities industry. Top

Fee-Based Accounts

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The SEC has passed a rule that permits brokerage firms to continue to offer fee-based accounts without being considered investment advisers. However, they are also warning firms that they are not suitable for all investors. Top

Gifts and Gratuities

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The regulators are scrutinizing gift-giving and entertainment practices on Wall Street. Be wary about throwing a lavish party for your counterparts at another firm or accepting tickets to the big game. These seemingly innocuous actions may land you and your firm in regulatory hot water. Top

Insider Trading

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An in-depth discussion about how suspicions of insider trading are investigated, the steps taken to prevent abuses, and how the rules are enforced. Top

Institutional Sales and Trading Practices - Debt

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A thorough analysis of sales and trading rules as they apply to fixed-income transactions for institutional customers. Topics include: insider trading, Chinese walls, and suitability issues for institutional clients. Top

Institutional Sales and Trading Practices - Equities

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A thorough analysis of sales and trading rules as they apply to equity transactions for institutional customers. Topics include: proprietary trading, insider trading, Chinese walls, and suitability issues for institutional investors. Top

Late Trading and Market Timing

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A discussion on market timing, late trading, and directed brokerage, as well as the SEC’s proposed rules to stem abuses in the mutual fund industry. Top

Suitability and Risk Disclosure

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A comprehensive study guide covering the suitability of recommendations and the disclosure of risk, complete with real-world case studies. Top

Supervision - Retail Manager

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A detailed analysis of the retail manager's duties and responsibilities and the tools used to perform the supervisory function. Case studies offer practical examples of how retail managers will apply this knowledge to real life situations. Top

Supervising Electronic Communications

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The rules regarding electronic communications have changed within the past few years, but technology is moving even faster. Broker-dealers are expected to capture, review, store and supervise electronic communication as they do with non-electronic communications. As technology advances, supervisory rules must be flexible enough to keep-up. Top

Supervising Discretionary Accounts

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Recent initiatives by the SEC provide brokerage customers with the same protection afforded investment advisory clients. Consequently, broker-dealers must abide by the rules and regulations of the Investment Advisers Act for discretionary accounts they hold. This means that they must register as investment advisers in order to maintain discretionary accounts, and registered representatives handling these accounts must register as investment adviser representatives. Top

Supervision for Institutional Managers

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An overview of the supervisory issues that institutional managers face and the tools they have at their disposal to deal with them. Discussions include potential red-flag case studies that illustrate real and potential problems that are likely to arise along with how the manager might resolve them. Top

Supervisory Rules and Procedures

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An overview of the supervisor's role that emphasizes the early detection of potential problems and the consequences of failing to supervise. Top

BROKERAGE SERVICES and MARKETS

Asset Allocation

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An overview of diversification strategies for registered representatives tailored to investors needs and circumstances. Discussions include portfolio optimization, the risk/return relationship, and strategies in asset allocation. Top

Avoiding Liability as a 401(k) Fiduciary

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Company plans sponsors and the registered representatives who assist them in establishing 401(k) plans can be subject to significant liability when acting as plan fiduciaries. Careful adherence to ERISA requirements can help avoid liability for plan participants’ investment losses. Top

Bond Ratings

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A discussion on how bond-rating agencies determine ratings and the factors that go into their analyses. Top

Business Continuation

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A thorough discussion on business continuation agreements. This course gives the various types of buy-sell agreements, their structure, and their advantages and disadvantages. Top

Estate Planning

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A complete examination of the fundamentals of estate planning, including the objectives of a plan, property interests, estate valuation, taxation, and methods of conservation. Top

Investing in Foreign Markets

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An examination of the factors that should be considered when investing in securities issued and traded outside the United States. Top

Investment Adviser Representative in Theory and Practice

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An overview of the investment advisory business and the laws that regulate it. Also examines the difference between being a registered rep and being an investment adviser representative. Top

Investment Banking

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A discussion of the fundamental principles of corporate finance and regulations governing the investment banking business. Limited Partnership An in-depth study of topics related to the limited partnership marketplace. Various partnership structures are described, along with applicable taxation, and the risk and suitability associated with limited partnerships. Top

Limited Partnerships

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An in-depth study of topics related to the limited partnership marketplace. Various partnership structures are described, along with applicable taxation, and the risk and suitability associated with limited partnerships. Top

OTC Markets

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A comprehensive review of the diverse over-the-counter marketplace, automated systems, and the responsibilities of OTC broker-dealers. Topics include: rules and regulations, order types, and ethical behavior. Top

Pension Rollover Training

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An overview of the pension rollover and distribution market, why it is unique, what the issues are and how an individual's needs and attitudes in retirement are different from those in other stages of life. Top

Retirement Planning for Business Owners

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The fundamentals of business retirement planning, including plan types, plan setup, contributions, investment options, reporting, and disclosure. Top

Retirement Planning for Individuals

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The fundamentals of retirement planning, including long-term investing, asset allocation, plan types, the plan characteristics, and taxation. Top

Selling Securities in a Banking Environment

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An overview of the regulations governing the sale of securities in a bank, including communicating with the public, and guidance on how to properly conduct securities business in a banking environment. Top

Selling Securities in a Deregulated Marketplace

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An overview of the regulations governing the sale of securities in a bank under the Graham-Leach-Bliley Act. Discussions include how today's financial services professional can develop and sharpen the skills necessary to compete in today's deregulated capital markets. This course mirrors Selling Securities in a Banking Environment with discussions on banking provisions included. Top

Taxation and Tax Planning

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A detailed review of the tax treatment of investment income, capital gains and losses, tax pitfalls, year-end strategies, and IRS regulations. Top

The Money Market

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A complete examination of the money market. Discussions include the various instruments that make up the money market, the insurance of such securities, and investor considerations. Top

SECURITIES PRODUCTS

Advanced Mutual Funds

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A comprehensive look at the issues involved in using mutual funds to satisfy a client's investment needs. Topics include: portfolio management, mutual fund analysis, as well as risk and suitability. Top

Annuity Plans

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A thorough review of annuities including how they function, their advantages and disadvantages, and who should buy them. Top

Corporate Debt Obligations

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An introduction to the fundamentals of corporate debt, including an analysis of the primary and secondary markets for corporate bonds, types of corporate issues, and the risks associated with corporate bond investing. Top

Derivatives

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A broad description of the features and risks of the most common derivative products including futures, swaps, and options. Top

Equity-Indexed Annuities

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Sales of these complex products are growing. The FINRA is concerned about how equity-indexed annuities are being sold to the public and whether these sales are being supervised properly. Top

Equity Options

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A detailed examination of the equity options marketplace along with the components of equity options, option pricing, and investment strategies. Top

Equity Securities

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A study of the general investment features associated with common stocks, preferred stocks, rights and warrants, and sales practice considerations. Top

Fixed Income Concepts

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Concepts An overview of the fundamental concepts that are critical to understanding a variety of debt instruments, including price/yield relationships, yield curve analysis, and portfolio management. Top

Funding Education-529 Plans

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A thorough examination of these college investment plans. This course covers the different types of plans, rules for contributions, as well as tax treatments and estate considerations. Also addressed are the advantages and risks with 529 Plans versus other higher-education investment vehicles. Top

Introduction to Mutual Funds

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An overview of the fundamentals of mutual funds focusing on the structure of a fund, fund types, and the buying and selling of mutual fund shares. Top

Life Insurance Concepts

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A discussion of the fundamentals of life insurance contracts including policy types, underwriting factors, purchase options, and policy provisions. Top

Mortgage-Backed Securities and CMOs

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A thorough review of the mortgage-backed securities marketplace. Emphasis is placed on mortgage-backed securities and collateralized mortgage obligations, including risk factors, suitability issues, and sales practices. Top

Mutual Fund Concepts

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A detailed discussion on evaluating mutual funds, including share classes, market timing, risk level, and taxation. This module also reviews topics discussed in Introduction to Mutual Funds, Advanced Mutual Funds, and prior Compliance Digests. Top

Municipal Bonds

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A review of the general investment features and associated risk factors of municipal bonds, an overview of municipal bond types, and the analysis of municipal securities. Top

Selected Health Insurance Products

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A comprehensive discussion on the various health, disability, and long-term insurance products, who needs them, and the different underwriting criteria. Top

Suitability and Sales Practices for Variable Annuities

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An examination of variable annuities, their attributes, structuring alternatives, and the due diligence required for making suitable product recommendations. The course also addresses annuity exchanges as well as highlights recent cases regarding sales practices. Top

Supervising the Sale of Variable Annuities

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A discussion of regulatory issues, industry trends, and the role of the supervisor in the variable annuity sale cycle. Top

U.S. Government and Agency Securities

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A discussion of securities issued by the U.S. Treasury. Attention is focused on the characteristics specific to these issues, including the markets where they trade, regulation and taxation matters, and investment strategies. Top

Variable Annuities and Variable Life Insurance

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An extensive analysis covering the characteristics of variable annuities and variable life insurance products. Top

Exams for Registered Representatives (Series 3,6,7,17,22,31,32,37,38,52,55,62,63,65,66,72,86 ,& 87.)

All of the exam materials price includes shipping and handling in the continental U.S. (UPS Ground usually it takes 2 to 3 days delivery). Online products are accessible within 24 hours when orders are placed before 3pm EST Monday-Friday. Access to online products for orders placed Friday - Sunday after 3pm EST, will be available on the next business day.

Use this menu to quickly jump to an Exam:

Series 3 - National Commodity Futures Examination with Online Finals

This exam is for an individual who solicits orders, customers or customer funds (or who supervises persons so engaged) on behalf of a Futures Commission Merchant (FCM), Introducing Broker (IB), Commodity Trading Advisor (CTA) or Commodity Pool Operator (CPO).

Prep Time: 35 hrs

Exam Time: 2.5 hrs

Exam Questions: 120

Price: US $170 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

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This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 6 - Investment Company Products/Variable Contracts Representative Examination with Online Finals

This examination qualifies an individual who will function as a representative for the solicitation, purchase, and/or sale of redeemable securities of companies registered pursuant to the Investment Company Act of 1940; securities of closed-end companies registered pursuant to the Investment Company Act of 1940 during the period of original distribution only; and variable contracts and insurance premium funding programs and other contracts issued by an insurance company.

Prep Time: 40 hrs

Exam Time: 2.25 hrs

Exam Questions: 100

Price: US $105 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 7 - General Securities Representative Examination

This registration qualifies a candidate for the solicitation, purchase, and/or sale of all securities products, including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts.

Prep Time: 80 to 100 hrs

Exam Time: 6 hrs

Exam Questions: 250

Price:US $245 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 17 - Limited Registered Representative Examination (FSA United Kingdom registered reps.)

Associated persons registered and in good standing with the Financial Services Authority (FSA) in the United Kingdom would be eligible to take an abbreviated form of the Series 7 examination.

Prep Time: 20 to 40 hrs

Exam Time: 2 hrs

Exam Questions: 100

Price: US $155 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 22 - Direct Participation Programs Limited Representative Examination

This qualifies an individual who will function as a representative for the solicitation, purchase, and/or sale of programs that provide for flow-through tax consequences, such as oil and gas programs, real estate programs, and S corporation offerings.

Prep Time: 40 hrs

Exam Time: 2.25 hrs

Exam Questions: 100

Price: US $115 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 31 - Futures Managed Funds Examination

For registered representatives employed by a securities broker-dealer whose only involvement in the futures industry will be to solicit interest in commodity pools. This study material comes with print final exams only.

Prep Time: 15 hrs

Exam Time: 1 hrs

Exam Questions: 45

Price: US $80 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 32 - Limited Futures Examination (FSA United Kingdom registered reps.)

For individuals registered with the Financial Services Authority (FSA) in the United Kingdom as general representatives or futures and options representatives, who have passed their FSA's Futures and Options Examination. This examination only covers NFA regulations. This study material comes with print final exams only.

Prep Time: 10 hrs

Exam Time: .75 hrs

Exam Questions: 35

Price: US $80 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 37- Canadian Module of the General Securities Registered Representative Exam (Options Required)

Associated persons registered and in good standing with the Financial Services Authority (FSA) in one of the Canadian securities regulatory organizations, would be eligible to take an abbreviated form of the Series 7 examination.

Prep Time: 40 to 50 hrs

Exam Time: 2 hrs

Exam Questions: 90

Price: US $145 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 38- Canadian Module of the General Securities Registered Representative Exam (Options NOT Required)

Associated persons registered and in good standing with the Financial Services Authority (FSA) in one of the Canadian securities regulatory organizations, would be eligible to take an abbreviated form of the Series 7 examination.

Prep Time: 30 to 40 hrs

Exam Time: 1.5 hrs

Exam Questions: 90

Price: US $115 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 52 - Municipal Securities Representative Examination

In addition to municipal securities, municipal fund securities (e.g., 529 College Savings Plans, Local Government Investment Pools (LGIPs)) and municipal markets, this examination covers U.S. government, federal agency, and other financial instruments, economic activity, government policy, the behavior of interest rates, and applicable federal securities laws and regulations.

Prep Time: 40 hrs

Exam Time: 3 hrs

Exam Questions: 100

Price: US $145 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 55 - Limited Representative-Equity Trader Examination

Registered representatives in this category may trade equity and convertible debt securities on a principal or agency basis. The Series 7 (including the foreign modules) or the Series 62 is the prerequisite to the Series 55.

Prep Time: 35 hrs

Exam Time: 3 hrs

Exam Questions: 100

Price: US $195 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 62 - Corporate Securities Limited Representative Examination

This examination qualifies an individual as a representative for the sale of public offerings and/or private placements of corporate stocks, corporate bonds, rights, warrants, real estate investment trusts, collateralized mortgage obligations, and securities of closed-end companies registered pursuant to the Investment Company Act of 1940, repos and certificates of accrual on corporate securities; securities traders; mergers and acquisitions; venture capital; corporate financing; ETFs, and hedge funds.

Prep Time: 50 hrs

Exam Time: 2.5 hrs

Exam Questions: 115

Price: US $155 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 63 -Uniform Securities Agent State Law Examination

The examination is designed to qualify candidates as securities agents. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations.

Prep Time: 35-40 hrs

Exam Time: 3 hrs

Exam Questions: 130

Price: US $75 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 65 -NASAA Uniform Investment Adviser Law Examination

The examination is designed to qualify candidates as investment adviser representatives. The exam covers topics that have been determined to be necessary to understand in order to provide investment advice to clients.

Prep Time: 35-40 hrs

Exam Time: 3 hrs

Exam Questions: 130

Price: US $170 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 66 - NASAA Uniform Combined State Law Examination

The examination is designed to qualify candidates as both securities agents and investment adviser representatives. The exam covers topics that have been determined to be necessary to provide investment advice and effect securities transactions for clients.

Prep Time: 25 - 30 hrs

Exam Time: 2.5 hrs

Exam Questions: 100

Price: US $140 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 72 - Government Securities Limited Representative Qualification Examination

Registered representatives in this limited category of registration are permitted to transact a member's business in Treasury securities, government agency securities, and mortgage-backed securities.

Prep Time: 40 hrs

Exam Time: 3 hrs

Exam Questions: 100

Price: US $155 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

Quantity:

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top
Series 86 - Research Analyst Qualification Examination (Part I)

Series 86 tests fundamental analysis and valuation of equity securities. This exam is appropriate for individuals who produce written or electronic communications that analyze equity securities or individual companies/industry sectors, and provide reasonably sufficient information upon which to base investment decisions.

Prep Time: 40-45 hrs

Exam Time: 4 hrs

Exam Questions: 100

Price: US $270 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

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This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 87 - Research Analyst Qualification Examination (Part II)

Series 87 covers FINRA and New York Stock Exchange rules, the Securities Act of 1933 and the Securities Exchange Act of 1934. This exam is appropriate for individuals who produce written or electronic communications that analyze equity securities or individual companies/industry sectors, and provide reasonably sufficient information upon which to base investment decisions.

Prep Time: 15 - 20hrs

Exam Time: 1.5 hrs

Exam Questions: 125

Price: US $120 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

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This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Exams for Registered Supervisors (Series 4,9,10,14,16,23,24,26,27,30,51, & 53.)

All of the exam materials price includes shipping and handling in the continental U.S. (UPS Ground usually it takes 2 to 3 days delivery). Online products are accessible within 24 hours when orders are placed before 3pm EST Monday-Friday. Access to online products for orders placed Friday - Sunday after 3pm EST, will be available on the next business day.

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Series 4 Registered Options Principal Examination

This examination is required of an individual who will function as a registered options principal, compliance registered options principal, or senior registered options principal. The Series 4 tests the individual's knowledge of options trading, exchange rules, and regulations applicable to the trading of options contracts, as well as the rules of the Options Clearing Corporation.

Prep Time: 40hrs

Exam Time: 3 hrs

Exam Questions: 50

Price: US $270 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 9 General Securities Sales Supervisor Qualification Examination-Options

This registration is appropriate for individuals required to register as principals to supervise sales activities in corporate, municipal, and options securities, investment company products, variable contracts, and direct participation programs. In addition to branch office managers, regional and national sales managers may also register in this capacity. The Series 9 contains “Options” questions. The Series 10 contains questions concerning FINRA, NYSE, MSRB, and SEC rules.

Prep Time: 15-20 hrs

Exam Time: 1.5 hrs

Exam Questions: 55

Price: US $120 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 10 General Securities Sales Supervisor Qualification Examination-General Securities

For persons who are required to be registered as principals and whose responsibilities are limited to sales supervision as branch office managers in member firms. Topics include: sales and account supervision, regulation of options, municipal securities regulation, compliance, and record keeping.

Prep Time: 30-35 hrs
Exam Time: 4 hrs
Exam Questions: 145

Price: US $270 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 14 NYSE Compliance Official Examination

This examination is required by the New York Stock Exchange. The Series 14 Examination is a qualification examination intended to insure that the individuals designated as having day-to-day compliance responsibilities for their respective firms or who supervise ten or more people engaged in compliance activities have the knowledge necessary to carry out their job responsibilities.

Prep Time: 25 hrs
Exam Time: 3 hrs
Exam Questions: 100

Price: US $245 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 16 NYSE Supervisory Analyst Qualification Examination

This exam is administered by the NYSE and taken by those who have the responsibility of preparing or approving research reports. Candidates who have passed any part of the CFA examination are eligible to have the securities analysis portion waived. This examination is required of an individual who will function as a Supervisory Analyst. This is a NYSE requirement and contains two parts; Part I covers regulations and Part II covers Securities Analysis.

Prep Time: 40 hrs
Exam Time: 3 hrs
Exam Questions: 100

Price: US $265 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 23 General Securities Principal Qualification Examination Sales Supervisor Module

The Series 23 is designed to test a candidate’s knowledge of the rules and statutory provisions applicable to the management of a general securities broker/dealer. The Series 23 examination program allows persons associated with FINRA members who are registered as General Securities Sales Supervisors and who are seeking to register and qualify as General Securities Principals an alternative to completing the Series 24. The Series 23 examination covers material from the Series 24 examination not otherwise covered under the Series 9/10 examination.

Prep Time: 40 hrs
Exam Time: 2.5 hrs
Exam Questions: 100

Price: US $270 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 24 General Securities Principal Examination

This examination qualifies individuals required to register as general securities principals in order to manage or supervise the member's investment banking or securities business for corporate securities, direct participation programs, and investment company products/variable contracts. The Series 24 does not qualify an individual to function as a: • Registered Options Principal, • General Securities Sales Supervisor for Options and Municipal Securities, • Municipal Securities Principal, • Municipal Fund Securities Principal, • Financial and Operations Principal, • Introducing Broker/Dealer Financial and Operations Principal

Prep Time: 40 hrs
Exam Time: 3.5 hrs
Exam Questions: 150

Price: US $270 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 26 Investment Company Products/Variable Contracts Principal Examination

This examination qualifies an individual who will function as a principal for the solicitation, purchase, and/or sale of redeemable securities of companies registered pursuant to the Investment Company Act of 1940; securities of closed-end companies registered pursuant to the Investment Company Act of 1940 during the period of original distribution only; and variable contracts and insurance premium funding programs and other contracts issued by an insurance company.

Prep Time: 35 hrs
Exam Time: 2.5 hrs
Exam Questions: 110

Price: US $170 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 27 Financial and Operations Principal Examination

The Series 27 is designed to test a candidate's knowledge and understanding of financial responsibility rules and recordkeeping requirements.

Prep Time: 40 hrs
Exam Time: 3.5 hrs
Exam Questions: 145

Price: US $270 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 30 Branch Manager Examination-Futures

This examination is for persons who are associated with an NFA member firm and who will act in the capacity of a branch manager. In order to conduct business as a branch manager, the candidate must also have a National Commodities Futures (Series 3) registration.

Prep Time: 20 hrs
Exam Time: 1 hrs
Exam Questions: 50

Price: US $115 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 51 Municipal Fund Securities Limited Principal Examination

This examination is designed to test a candidate’s knowledge of the rules and statutory provisions applicable specifically to municipal fund securities and the supervision of the activities of registered representatives effecting municipal fund securities transactions (e.g. 529 College Savings Plans, Local Government Investment Pools (LGIPs).

Prep Time: 20 hrs
Exam Time: 1.5 hrs
Exam Questions: 60

Price: US $115 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

Series 53 Municipal Securities Principal Examination

This examination is designed to test a candidate's knowledge of the rules and statutory provisions applicable to a municipal securities broker or dealer and to the supervision of the activities of municipal securities representatives. This exam also enables the principal to supervise municipal fund securities (e.g., 529 College Savings Plans, Local Government Investment Pools (LGIPs).

Prep Time: 25 hrs
Exam Time: 3 hrs
Exam Questions: 100

Price: US $270 includes shipping and handling in the continental U.S. (UPS Ground usually 2 to 3 days delivery)

This self-study courses allow you to learn on your own with the most up-to-date study materials, prep tests, and support services. You receive easy-to-understand study manuals and practice tests with detailed explanations along with a toll-free number to call when you need specific questions answered. Top

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