New 2012 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 2012 include the following:

1.       AML - Current Issues 2012 (Q1 2012)

2.       Disciplinary Actions Against Representatives (Q1 2012)

3.       Disciplinary Actions Against Firms and Supervisors (Q1 2012)

4.       Disciplinary Actions Against Investment Advisers (Q1 2012)

5.       Disciplinary Actions Against Institutional Representatives (Q1 2012)

6.       Disciplinary Actions Against Wholesalers (Q1 2012)

7.       Regulatory Actions Against Firms and Representatives (Q1 2012)

8.       Customer Complaints - Identification, Handling, and Supervision (Q2 2012)

9.       Fixed Income Securities - Regulatory Issues (Q2 2012)

10.       High Yield Investments - Regulatory Issues (Q3 2012)

11.       Hiring Successful Securities Professionals (Q3 2012)

For detailed descriptions of the new 2012 offerings or any of our courses, please review our course catalog (available for download here).

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 a sales representative at sales@firesolutions.com.

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