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New 2011 Firm Element Courses
Each year, our subject matter experts decide what new Firm
Element CE courses FIRE will develop, based on a variety of factors including
client requests and feedback, review of regulatory activities, and the
recommendations of FINRA's Firm CE Advisory Committee.
New courses that will be developed during 2011 include the
following:
1. AML -
Current Issues 2011 (Q1 2011)
2. IA
Pay-to-Play (Q1 2011)
3. Regulatory
Actions Against Firms and Representatives (Q1 2011)
4. Registered
Representative Obligations (Q1 2011)
5. IA Supervision
(Q2 2011)
6. Fraud
Prevention and Detection (Q2 2011)
7. Risk
Mitigation for Representatives (Q2 2011)
8. Data
Protection and Business Continuity Plans (Q2 2011)
9. CDs and
Money Market Instruments (Q3 2011)
10. Public and
Private Offerings - Regulatory Concerns (Q3 2011)
For detailed descriptions of the new 2011 offerrings or any
of our courses, please review our course catalog (available for download here).
These new courses for 2011 are available now:
1. Outside
Business Activities
2. Outside
Business Activities for Independent Registered Representatives
3. Outside
Business Activities for Wholesalers
4. Electronic
Communications for Registered Representatives
5. Electronic
Communications for Supervisors
6. Electronic
Communications with the Public for Independent Registered Representatives
7. Electronic
Communications with the Public for Wholesalers
8. Understanding
Commodity Futures and Linked-Securities
We welcome your suggestions on how we can edit or enhance
any of these courses to better fit your firm's needs.
For more information, contact Eric Sternbach at esternbach@firesolutions.com.
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