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Course Descriptions
40501 - Annuities and Mutual Funds
This course covers tax deferred annuities, power of tax deferral, risks, split annuities and an introduction to mutual funds.
40502 - Banking, Securities & Compliance
This course reviews the issues, rules, training and regulations facing securities activities in financial institutions.
40504 - Communications for Registered Representatives
With all the new rules and amendments to communications rules dealing with the Internet, e-mail, mail etc. this course furnishes what the registered representative needs to understand and how cope with current rules. Included in this course are the rules regarding taping conversations, web sites, products, advertising, sales literature, chat rooms and more.
Illinois Insurance CE = 6
CFP CE = 4 1/2
40505 - Equities
This course reviews common stock, preferred stock, and other types of corporate equity securities as well as trading features.
Illinois Insurance CE = 6
CFP CE = 4
40506 - Annuities, Equity Index
This relatively new and exciting product is explained in great detail including the basic of annuities, how they work and marketing tips.
40507 - Estate Planning
Reviews estate planning fundamentals including the estate planning team, trusts, types of ownership, taxation issues, gifting techniques and probate.
Illinois Insurance CE = 6
CFP CE = 4
40508 - Ethics for Financial Services Professionals
Ethics make up the fine line between breaking rules and close to breaking the rules. This course defines that fine line and deals with dealing with clients doing it the right way.
Illinois Insurance CE = 6
40509 - Financial Planning Products Part I
This course introduces the different types of investment products available to fund a financial plan. Basic financial planning concepts and stages will also be discussed.
40511 - 401(K) Plans
With the 401(k) still popular today with millions and millions of dollars being funded by employees this course reviews the basic concepts, investment choices, plan rules and suitability.
Illinois Insurance CE = 6
CFP CE = 4
40511 - 401(K) Plans
With the 401(k) still popular today with millions and millions of dollars being funded by employees this course reviews the basic concepts, investment choices, plan rules and suitability.
Illinois Insurance CE = 6
CFP CE = 4
40512 - Fixed Income Products
This course reviews the interaction of corporate debt instruments within the financial services structure, how they are traded, the Trust Indenture Act of 1939, convertibles, suitability and more.
40513 - General Securities Supervision
An excellent choice for the General Securities Supervisors in your firm. This course reviews subjects such as NASD Conduct rule 3010, correspondence review, trading activities, communications, general sales supervision and prior NASD disciplinary cases.
Illinois Insurance CE = 6
CFP CE = 4
40515 - Initial Public Offerings
Learn how IPO's started and all the ins and outs
40516 - Investment Advisers
This course reviews the fundamental responsibilities of the investment adviser, governing state and federal rules and regulations, brochure rule and required disclosures.
40518 - Margin
This course reviews the basics of margin, rules and regulations, Reg. T, long, short and combined margin accounts with examples as well as options and how they work with margin.
40519 - Money Markets & Money Market Instruments
This course reviews the types of securities that are placed into money markets such as commercial paper, certificates of deposit, bankers acceptances, other short-term debt instruments as well as how a money market works, fees and more.
40520 - Municipal Securities/MSRB Rules
This course covers all types of municipal securities, including general obligation bonds, revenue bonds, industrial development revenue bonds, short-term notes, tax issues, taxable equivalent yield computations and key MSRB Rules.
40521 - Mutual Funds
Starting with the first mutual fund and reviewing the history of mutual funds the course continues with the various applicable federal laws, benefits of investing in mutual funds, pricing and types of shares.
Illinois Insurance CE = 6
CFP CE = 4
40522 - Options I
This first course on options describes the different types, how they work, investment strategies, customer suitability, rules, regulations, disclosure and more.
40524 - Principles and Basics of Annuities
This annuity course will provide you with information about annuities with special emphasis on taxation, retirement planning issues, comparisons of other types of investments, marketing ideas, split annuities, risk tolerance marketing ideas and more.
40526 - Retirement Pension Plan/IRA
An enlightening course focusing on the mystery retirement and associated issues. The course reviews basic retirement plans, inflation an Social Security.
40527 - Tax Issues for Financial Professionals
This course reviews recent tax changes, strategies, tax credits, capital gain changes and 1040 strategies.
40528 - Variable Insurance Products
This course reviews advantages and disadvantages of variable insurance, annuities, asset allocation and risk tolerance.
40530 - Section 529 Education Plans
This continuing education course is designed to provide the insurance agent with basic knowledge of college education funding, general educational tax benefits, special tuition plans, trusts, IRAs, savings bonds, financial aid for college and educational scholarships.
40531 - Anti Money Laundering
With the signing of the recent USA Patriot Act of 2001 the U.S. Government received additional powers in the war on terrorism. This program reviews the requirements for all persons associated with the financial services industry. Money laundering is a crime that deserves serious attention by banks, securities firms, investment advisors, mutual fund companies and more. Fines are stiff and jail sentences are severe for not following the new laws, regulations and rules. This information should become part of your compliance program
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