All courses are $25 each
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.
Courses
Financial Services online classes - annuities,arbitration & mediation,do not call & securities,gramm leach bliley,sarbanes-oxley act,REITS, fundamentals of mortgage lending,annuities,asset allocation,ethics for financial professionals and options basic
Sample Course Descriptions
COURSE NAME:
REITS
This course provides a brief overview of real estate investment trusts (REIT), which offer alternative means of investing away from securities.
There are three basic types of REITs that will be discussed: mortgage, equity, and hybrid. In addition to highlighting their functions and advantages, this course touches on the tax considerations inherent in REITs, and the various tax categories involved.
LEARNING OBJECTIVES:
• Learn about the nature and advantages of real estate investment trusts.
• Identify the three basic types of REITs: mortgage, equity, and hybrid.
• Understand the tax considerations involved in REITs, and the three categories for tax reporting: ordinary income, capital gains, and return of capital.
TOPICS COVERED:
INTRODUCTION
LESSON 1: Real Estate Investment Trusts (REITS)
REGULATORY REQUIREMENT:
Please see the state/regulatory requirement from the course catalog page.
ABOUT THE SUBJECT MATTER EXPERT:
This course is created and brought to you by 360Training, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. 360Training's high quality e-learning courses assist thousands of working professionals each month in a wide range of disciplines to succeed in today's marketplace, renew licenses, acquire certification or prepare for a new profession.
This course was created by the instructional design staff of 360Training in connection with field professionals that bring many years of experience in adult educational theory and distance learning technology to make the process of certification, compliance and training as convenient, engaging, and cost-effective as possible.
If you have any requests for technical or instructional support, please contact the 360Training Support Department located in the HELP section of your account profile. Technical support inquiries are handled immediately and instructional support questions are returned within 24 business hours with answers provided by a qualified professional in your
field through our network of subject matter experts.
COURSE NAME:
Sarbanes-Oxley Act
The Sarbanes-Oxley Act of 2002 is considered by some in the financial industry as one of the most significant pieces of legislation since the securities acts of the 1930s. The Act mandates that CEOs and CFOs of publicly-traded companies must certify their companies’ financial statements, in effect holding them responsible for the financial conduct of the company. This Act has far-reaching effects on corporate culture as a whole, and the financial industry in specific. This course will explain the background of the Act and its main tenets, specifically Sections 906 and 302, and will discuss how financial professionals can use the Act to evaluate the financial profile of a particular company. The Act is a controversial piece of legislation, and debate over its implementation is sure to continue well in the future.
LEARNING OBJECTIVES:
• Understand the events and circumstances that led to the Sarbanes-Oxley Act.
• Identify the responsibilities of CEOs and CFOs of publicly-traded companies under the Act.
• Understand why a company’s Code of Ethics must be made accessible, and why any changes to it must be publicly disclosed.
• Recognize the auditing structure required for fiscal-year financial statements.
• Understand ways that the Act affects financial professionals, and red flags that can be identified by Act compliance or non-compliance.
COURSE NAME:
Arbitration and Mediation
In our modern litigious society, the value of arbitration and mediation in the business sector cannot be understated. This course examines the main objectives behind both methods of litigation, how they differ, how they work, and how final decisions are reached.
TOPICS COVERED:
Introduction
LESSON 1: Arbitration
LESSON 2: Mediation
REGULATORY REQUIREMENT:
Please see the state/regulatory requirement from the course catalog page.
COURSE NAME:
Fundamentals of Mortgage Lending
This course provides an introduction to residential real estate finance, Mortgage Lending Practice and intensive processing training in FHA, VA, FNMA, & FHLMC loans. The course aims to strengthen a student’s knowledge of real estate financial terminology and develop his or her practical understanding of the loan underwriting, borrowing and funding process.
You will learn the basics of the loan application, escrow, title, PMI (Private Mortgage Insurance) and credit reports, including: FICO, qualifying for loan amounts, and verifying income and assets.
LEARNING OBJECTIVES:
• What are the important factors of Real Estate Market
• What is the Monetary and Federal Reserve System
• The Federal and State Laws Affecting Real Estate
• The Mortgage Brokerage Requirements
• The Tools of Real Estate Finance
• Mortgage Loan Programs and The Mortgage Markets
• Fair Lending Basics
• The Requirements of Processing a Real Estate Loan
• Loan Amounts, Closing Costs and Credit Calculations
• Required Mortgage Lending Practice Documentation
COURSE NAME:
Do Not Call & The Securities Industry
The recent Do Not Call legislation may have brought an end for consumers to dinner-time interruptions and unsolicited calls, but it had created a challenge to industries who rely on cold calls and telemarketing as sales tactics. This course examines the Do Not Call legislation and its ramifications to the securities industry, including disciplinary actions for infringement. Do Not Call and the Securities Industry also examines risk management tools that firms can use to avoid violations and sanctions.
LEARNING OBJECTIVES:
• Identify the main points of the Do Not Call legislation.
• Understand the DNC’s ramifications on the securities industry.
• Recognize penalties for violating the DNC.
• Apply risk management techniques to avoid potential violations and fines.
TOPICS COVERED:
• Introduction
• Lesson 1: Do Not Call Legislation
• Lesson 2: Risk Management
Financial Services online classes - annuities,arbitration & mediation,do not call & securities,gramm leach bliley,sarbanes-oxley act,REITS, fundamentals of mortgage lending,annuities,asset allocation,ethics for financial professionals and options basic
Insurance Pre-License & Continuing Education Training Online Insurance & Financial Services Classes- Firm Element, Insurance CE, Insurance Pre-license/Exam Prep, Securities and Futures Prep
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Financial Services online classes - annuities,arbitration & mediation,do not call & securities,gramm leach bliley,sarbanes-oxley act,REITS, fundamentals of mortgage lending,annuities,asset allocation,ethics for financial professionals and options basic
