Special discounts are available for groups, corporate accounts and students taking multiple courses. To learn more, call us toll-free at: 1-877-211-4523

Firm Element CE

Please check the box next to the course(s) you wish to take. Then click the "Add To Cart" button to proceed with registration.

Course Title Hours Price

Course Title:
Corporate Pension Plans

Course Description:
This course continues our retirement series with a look at the difference between defined benefit and defined contribution plans, profit sharing plans, and 401(k) and 403(b) plans. Contributions, taxation, and distribution are discussed for each plan. For a more extensive look at 401(k), please see our course devoted entirely to that plan.

LEARNING OBJECTIVES:

  • Distinguish between Defined Benefit Corporate Pension Plans and Defined Contribution Corporate Pension Plans
  • Be acquainted with Profit Sharing Plans
  • Be acquainted with 401(k) plans
  • Be acquainted with 403(b) plans
  • Be familiar with the contribution, tax treatment, and distribution rules for each plan

    TOPICS COVERED:

  • Introduction
  • Lesson 1: Defined Contribution vs Defined Benefit Plan
  • Lesson 2 : Profit Sharing Plans
  • Lesson 3: 401(k) Plans
  • Lesson 4: 403(b) Plans

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 1 hour.

    COURSE PRE – REQUISITE:
    N/A

    TESTING:
    Quizes – You will be required to pass the quizes with a 70% in order to move on to the next lesson.
    Final Exam – You will not be required to take the final exam.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

  • 1 $25

    Course Title:
    Consumer Protection Law

    CATEGORY:
    .

    Course Description

    This course will provide you with an understanding of basics of consumer protection and the various Federal consumer protection laws. The area of consumer credit is covered in some detail due to it’s over riding influence in our daily lives. The role and activities of the Bureau of Consumer Protection are explored with an emphasis on the financial and marketing practices of the bureau. Also briefly explained are common violations of consumer protection laws.

    Learning Objectives

    • Learn what is meant by consumer protection
    • Learn about the Federal Trade Commission’s Law Enforcement Authority
    • Learn about the various areas of consumer protection
    • Define what is consumer credit
    • Identify the different consumer credit laws
    • Learn about the Bureau of Consumer Protection
    • Identify the some of the consumer protection violations
    • Identify the various divisions operating within the Bureau and their roles

    Topics Covered

    • Introduction
    • LESSON 1: Federal Trade Commission Act
    • LESSON 2 : Areas Of Consumer Protection
    • LESSON 3: Consumer Credit
    • LESSON 4: Bureau Of Consumer Protection

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 1 hour.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

    1 $25

    Course Title:
    Consumer Protection Law

    CATEGORY:
    .

    Course Description

    This course will provide you with an understanding of basics of consumer protection and the various Federal consumer protection laws. The area of consumer credit is covered in some detail due to it’s over riding influence in our daily lives. The role and activities of the Bureau of Consumer Protection are explored with an emphasis on the financial and marketing practices of the bureau. Also briefly explained are common violations of consumer protection laws.

    Learning Objectives

    • Learn what is meant by consumer protection
    • Learn about the Federal Trade Commission’s Law Enforcement Authority
    • Learn about the various areas of consumer protection
    • Define what is consumer credit
    • Identify the different consumer credit laws
    • Learn about the Bureau of Consumer Protection
    • Identify the some of the consumer protection violations
    • Identify the various divisions operating within the Bureau and their roles

    Topics Covered

    • Introduction
    • LESSON 1: Federal Trade Commission Act
    • LESSON 2 : Areas Of Consumer Protection
    • LESSON 3: Consumer Credit
    • LESSON 4: Bureau Of Consumer Protection

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 1 hour.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

    1 $25

    Course Description

    The last thing that any firm wants is to have to notify its customers and regulators that there has been a security breach and that customer non – public information may be compromised. Although Regulation S – P (“Reg S – P”) appears to be a fairly straightforward rule, requiring “protection of customer information,” the constant change in technology, interpretations from regulators, and new threats from hackers make safeguarding non – public information an issue that is ever evolving and increasingly difficult to track.

    Learning Objectives

    At the end of this course, the student will be able to.

    • Describe the source of Regulation S – P.
    • Outline the privacy policy requirement under the regulation.
    • Analyze sample privacy policy disclosures.
    • Apply safeguarding and disposal of client information techniques.
    • Recant provisions to allow representatives to retrieve and retain confidential client information
    • Define Regulation S – AM.

    This course includes.

    • One Lesson
    • One Online Final Exam
    1 $25

    Course Title:
    Compliance Issues for Investment Bankers.

    Course Description

    Investment Banking Broker/Dealers are often small boutique broker/dealers which conduct business as “limited broker/dealers.” These firms do not typically handle customer funds or securities in the same way a traditional brokerage firm would, yet Investment Banking Broker/Dealers are still subject to the same securities rules and regulations imposed by the U.S. Securities Exchange Commission (“SEC”), the National Association of Securities Dealers, Inc. (“NASD”) and the various state regulatory jurisdictions, as their larger industry brethren. This often creates unique compliance challenges for the Investment Banking Broker/Dealer. .

    This course has been developed to educate Principals and Administrative Staff of Investment Banking Broker/Dealers on these unique compliance challenges and how to address them before they result in inadvertent rule violations. Rule violations, whether intentional or not, often result in disciplinary action being taken by the NASD against the broker/dealer and its principals and may result in fines or suspensions.
    .

    LEARNING OBJECTIVES:

  • Registration requirements for persons engaged in private placement activities.
  • Supervisory responsibilities of principals associated with investment banking broker/dealers.
  • Recordkeeping responsibilities of investment banking broker/dealers.
  • Common mistakes / “Pitfalls” that investment banking broker/dealers often make which result in rule violations and disciplinary actions.
  • Net capital issues effecting investment banking broker/dealers.
    .

    TOPICS COVERED: .

    Introduction.

    Lesson 1: Registration Requirements.

    Lesson 2: Supervisory Responsibilities.

    Lesson 3: Recordkeeping Responsibilities.

    Lesson 4: Private Placement Pitfalls.

    .

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page. .

    SEAT TIME:
    This course has been approved for 6 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online. .

    ABOUT THE SUBJECT MATTER EXPERT:
    Established in 1984, MGL provides full service Registration and Compliance services to broker/dealers and investment advisors. Services include: NASD, SEC, NFA, CFTC and multi – state Registration and Renewal services; preparation of Supervisory Procedures; Business Plans; Continuing Education services; Compliance Meetings; Financial Reporting; and Compliance Examinations. For RIA firms, we provide SEC and state registration/renewal services, Form ADV disclosures, Advisory Agreements, Supervisory Procedures, and Compliance Examinations. Leaders in Registration and Compliance, we go Above and Beyond!.

    .

    .

  • 6 $65

    Course Description

    Public outcry has resulted in the states seeking protection for consumers through legislation. Recently, this effort has been taken to a national level, with the establishment of the National “Do Not Call” Registry.

    Lesson 1: Do Not Call Legislation

    Background
    Regulatory Background
    What the Law Stipulates
    Impact on Different Industries.

    Lesson 2: Risk Management

    Regulating the Securities Industry
    The State of Compliance of the Securities Industry
    How Proactive Supervision Can Prevent Violations
    Recommendations of the Securities Industry.

    1 $25

    Course Title:
    Commercial General Liability Insurance

    CATEGORY:
    N/A.

    LEVEL:
    Basi.

    Course Description

    The peril of liability is one of the most severe risks facing any organization today. Operating an organization without liability insurance puts owners at risk. Learning about liability insurance is a great way to prolong the life of your organization! This course covers broad issues of liability insurance and Workers’ Compensation.

    Learning Objectives

    • The basics of commercial liability insurance
    • Commercial liability insurance coverage
    • Commercial liability insurance policy
    • The basics of worker’s compensation and employers liability insurance
    • Worker’s Compensation and employers liability insurance policy

    Topics Covered

    • Introduction
    • LESSON 1: The Basics of Commercial Liability Insurance
    • LESSON 2: Commercial Liability Insurance Coverage
    • LESSON 3: Commercial Liability Insurance Policy
    • LESSON 4: Workers’ Compensation and Employers Liability Basics
    • LESSON 5: Workers’ Compensation and Employers Liability Insurance Policy

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 3 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.
    .

    3 $25

    Course Title:
    Business Conduct Practices

    Course Description

    Employee conduct is essential to the success of any business, but this is especially true for the financial industry. The aim of Business Conduct Practices is to enable a company to meet compliance and risk management responsibilities in an efficient and effective manner. This course provides a basic understanding of the concepts associated with business conduct and presents an ethical framework within which an employee may interact with various entities. Business conduct practices are defined at the outset, followed by explanations of the ethical issues associated with various business interfaces, and the appropriate behavior with which a professional should deal with external and internal customers, shareholders, business partners, and competitors. The nature of regulation is also touched upon within this course.

    LEARNING OBJECTIVES:

  • Understand the concept of proper business conduct.
  • Comprehend the necessity of integrating ethics and values in sound business dealings.
  • Recognize the different types of business entities that employees may interact with.
  • Understand business conduct practices when dealing with both internal and external customers.
  • Understand business conduct practices when dealing with business partners.
  • Understand business conduct practices when dealing with regulatory bodies.
    Be aware of the need for compliance toward laws and statutes and the positive effect that this will have on business.

    TOPICS COVERED:

  • Introduction
  • Lesson 1: An Introduction to Business Conduct
  • Lesson 2: Dealing with External Customers, Internal Customers and Shareholders
  • Lesson 3: Dealing with Business Partners
  • Lesson 4: Dealing with Competitors & the Nature of Regulation.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 4 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam: You must pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:
    Barbara CB Harrington, LUTCF.

    Barbara CB Harrington is the former Director and founder of Harrington School, a pre – licensing school and current Director and founder of Harrington Center in Poughkeepsie, NY. Harrington Center offers Continuing Education Training to Insurance agents as well as Compliance services to Mutual Fund and Insurance Companies.

    Barbara has authored over 45 continuing education courses for the insurance and securities field and has been a consistent guest lecturer on both subjects.

    She is licensed in Life, Health, P&C and Securities and specialized for 15 years in the field of Pension and Estate Planning.

    Barbara is the proud mother of three adult children, grandmother of five grand children, and great grandmother of three great grandchildren. She lives in Hyde Park, NY, with her dog Holly.
    .

  • 4 $25

    Course Title:
    Bank Secrecy Act

    CATEGORY:
    Banking Training.

    Course Description

    This course provides a detailed review of the Bank Secrecy Act. It outlines the history of the Act and its purpose. It also describes the requirements from financial institutions, casinos, and other businesses to maintain appropriate records and file reports. The common BSA violations are also discussed to allow you to guard against them.

    LEARNING OBJECTIVES:

    • Discuss the purpose of the Bank Secrecy Act
    • Understand the implications of the amendments made to the BSA by the USA PATRIOT Act of 2001
    • Grasp the changes made to BSA over the years and why
    • Comprehend the requirements of the “know your customer” guidelines
    • Review the most common BSA violations by organizations

    Topics Covered

    • INTRODUCTION
    • LESSON 1: INTRODUCTION TO BSA & USA PATRIOT ACT
    • LESSON 2A: CURRENCY TRANSACTION REPORTING
    • LESSON 2B: SUSPICIOUS ACTIVITY REPORTING
    • LESSON 2C: KNOW YOUR CUSTOMER

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 1 hour.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Quizzes – You will not be required to pass the quizzes to move on to the next lesson.
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:
    MGL Consulting

    Established in 1984, MGL provides full service Registration and Compliance services to broker/dealers and investment advisors. Services include: NASD, SEC, NFA, CFTC and multi – state Registration and Renewal services; preparation of Supervisory Procedures; Business Plans; Continuing Education services; Compliance Meetings; Financial Reporting; and Compliance Examinations. For RIA firms, we provide SEC and state registration/renewal services, Form ADV disclosures, Advisory Agreements, Supervisory Procedures, and Compliance Examinations. Leaders in Registration and Compliance, we go Above and Beyond!.

    1 $25

    Course Title:
    Asset Management

    CATEGORY:
    Accounting and Auditing

    Course Description

    This course covers broad issues and components of asset management plans. It also explains the discounted cash flow analysis. And the impact of the different assumptions on discounted cash flow analysis. It further goes to describe the factors to consider deciding whether to buy or lease property.

    LEARNING OBJECTIVES:

  • Discounted cash flow analysis
  • The components of Asset Management Plans
  • How to compare Alternative Asset Management
  • The impact of different assumptions on discounted cash flow analysis
  • The factors to consider to deciding whether to buy or lease property
  • The different alternatives to maximize return from distressed property
  • The factors in deciding whether to sell or hold a property.

    TOPICS COVERED:

  • Introduction
  • LESSON 1: Asset Management Essentials
  • LESSON 2: A Successful Renovation
  • LESSON 3: A Matter of Assumptions
  • LESSON 4: The Decision to Buy or Lease
  • LESSON 5: Distressed Property Decisions
  • LESSON 6: The Disinvestment Decision
  • LESSON 7: Complexities of Real Investment
  • LESSON 8: Real Estate Market Research.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 3 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Quizzes – All quizzes must be passed with a 70% to proceed forward to the next lesson.
    Final Exam – You will not be required to take the final exam.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

  • 3 $25

    Course Title:
    Asset Allocation

    Course Description

    With the increasing popularity of do – it – yourself internet investing, the practice of asset allocation will continue to set the abilities of financial professionals apart from average at – home investors. This course provides an understanding of key allocation concepts associated with investments for both institutional and individual clients. The importance of risk management is also discussed, along with investments strategies to help financial professionals guide their clients’ portfolios.

    LEARNING OBJECTIVES:

  • Be familiar with the concept of asset allocation.
  • Be acquainted with the different types of financial assets.
  • Understand the risk/return trade – off from both institutional and individual investor perspectives.
  • Understand the difference between systematic and unsystematic risk.
  • Understand the goal of an Investment Strategy.
  • Be acquainted with the specific risks associated with each type of Financial Asset.
  • Be acquainted with the methods of valuing financial assets.
  • Be familiar with the steps in the asset allocation process
  • Be familiar with the factors to look out for in an investment strategy.

    TOPICS COVERED:

  • Introduction
  • LESSON 1: The Purpose of Asset Allocation
  • LESSON 2: Investment Asset Classes and Their Risks
  • LESSON 3: How to Arrive at the Value of an Asset
  • LESSON 4: Management of Risk.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 4 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be requied to pass the final exam with a 70% in order to received course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.
    .

  • 4 $25

    Course Title:
    Arbitration and Mediation

    Course Description

    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.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:
    American Academy of Financial Training Inc. (AAFT), provides outstanding customized training, globally, on a broad mix of financial and banking topics. Our instructors are top practitioners in their respective fields and present information in a captivating, energized, highly interactive style. AAFT experts are also available for consulting and online course development projects. For additional information, log onto our website at www.aaft.net.
    .

    2 $25

    Course Title:
    Anti Money Laundering

    CATEGORY:
    .

    Course Description

    Financial institutions are at the forefront of the battle against the money launderers. It is not only their institutions that the money launderers target to use in their various nefarious schemes but under current legislation they are responsible for policing the financial dealings and reporting any suspicious transactions. This course will dwell upon the new regulatory environment of the securities industry vis a vis money laundering, specifically the USA Patriot Act 2001. The course aims to highlight the key aspects of the USA Patriot Act namely, Suspicious Activity Reporting (SAR) and Know your Customer (KYC).

    Learning Objectives

    • Understand the scope and effect of Money Laundering.
    • Understand the Process and Methodology of Money Laundering.
    • The impact of money laundering on the Operations and responsibilities of Financial Institutions.
    • The regulatory environment vis a vis Money Laundering for the securities industry.
    • The establishment of the Anti Money Laundering Program for securities firms.

    Topics Covered

    • Introduction
    • LESSON 1: Money Laundering Defined
    • LESSON 2: Effects of Money Laundering
    • LESSON 3: Federal Money Laundering Laws for Securities Firms
    • LESSON 4: The USA Patriot Act

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:
    Les Carter

    Les was an executive in the financial services industry who has served as a President of a commercial bank, and as an Executive Vice President of a special servicing company. He has 20 years of commercial and mortgage banking experience including starting four companies: a commercial bank, a consulting company, a loan servicing company, and a consumer collection agency.

    Most recently, before joining 360Training, Les was an Executive Vice President of The Ontra Companies in Austin, TX, a nationally recognized holding company with interests in special servicing and loan originations.
    .

    2 $25

    Course Title:
    Annuities

    Course Description

    As the Baby Boomer generation reaches retirement age, the issue of how to prepare and safeguard that retirement is becoming an increasingly important topic in the insurance and financial industries. Clients planning for their retirement future often turn to annuities as a source of income and funding. This course explores the function of annuities as investment instruments, the characteristics of fixed and variable annuities, and the benefits and options available with both varieties.

    LEARNING OBJECTIVES:

  • Define the uses and purpose of an annuity.
  • Recognize the investment function of an annuity.
  • Discern the difference between an annuity and a retirement plan.
  • Understand the differences between fixed and variable annuities, and the characteristics that distinguish them.
  • Be familiar with settlement/payout options.
  • Identify the benefits associated with annuities.
    .

    Topics Covered

    • Introduction
    • LESSON 1: Annuities – Fundamentals
    • LESSON 2: Fixed Annuities
    • LESSON 3: Variable Annuities

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 4 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:
    American Academy of Financial Training Inc. (AAFT), provides outstanding customized training, globally, on a broad mix of financial and banking topics. Our instructors are top practitioners in their respective fields and present information in a captivating, energized, highly interactive style. AAFT experts are also available for consulting and online course development projects. For additional information, log onto our website at www.aaft.net.
    .

  • 4 $25

    Course Title:
    Analyzing Financial Statements

    Course Description

    This 1.5 – hour course examines financial statements in detail, including components of a balance sheet, their calculations, and the effects of transactions on the balance sheet and the income statement. Students should have some prior understanding of financial statements before taking this course.

    LEARNING OBJECTIVES:

  • Understand the main components of a financial statement,
  • Identify measures of liquidity, risk of bankruptcy, and asset coverage.
  • Recognize the effect of transactions on a balance sheet, from asset sales to stock splits and dividends.
  • Understand the principle components of an income statement.

    TOPICS COVERED:
  • Introduction
  • Lesson 1: Components of the Balance Sheet
  • Lesson 2: Balance Sheet Calculations
  • Lesson 3: Effects of Transactions on the Balance Sheet
  • Lesson 4: The Income Statement.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 3 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

  • 3 $25

    Course Title:
    Agency Operations

    Approval Number:
    N/.

    CATEGORY:
    General.

    Course Description

    This course is designed to encompass key issues in the business of agency operations. It looks at the various aspects of risk management, and outlines the workings of the insurance markets as they exist today. To highlight the importance of procedural issues, the course also focuses on issues of Errors and Omissions, and links the same to various aspects of the agency business.

    Learning Objectives

    • Learn about Insurance Agency Operations
    • Familiarize the student with the concept of Risk Management, its purposes and implementation process within the Agency
    • Educate the student about different types of insurance markets as well as insurance company evaluation
    • Familiarize the student with the ethical and legal responsibility pertaining to Insurance Agency Operations
    • Learn about sales and marketing within the agency
    • Familiarize the student with Errors & Omissions, and with E&O planning
    • Understand agency finances including financial management, accounting records, agency accounting and etc.

    Topics Covered

    • Introduction
    • Lesson 1: DEALING WITH RISK
    • Lesson 2: KEY ELEMENTS OF THE RISK MANAGEMENT PROCESS
    • Lesson 3: INSURANCE MARKET CLASSIFICATIONS
    • Lesson 4: ETHICS AND LEGAL RESPONSIBILITY
    • Lesson 5: SALES AND MARKETING
    • Lesson 6: ERRORS & OMISSIONS
    • Lesson 7: AGENCY FINANCES
    • LESSON 8: Insurance Regulation
    • LESSON 9: Policy Illustrations
    • LESSON 10: Consumer Protection in the Insurance Industry
    • LESSON 11: Regulation of Insurance Trade Practices

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 6 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    EMMERT C. DAUGARD, M.A. CLU ChFC HIA MHP PAHM RHU REBC LIC

    An accomplished speaker/trainer who has developed and taught many public insurance continuing education courses. Since 1988, designed and taught courses to over 25,000 insurance professionals. Held the insurance positions of agent/broker, manager, and corporate senior vice – president. Licensed for over 20 years in both property/casualty and life/health.

    EXPERIENCE.

    Director, Center for Continuing Education, Austin, Texas
    Manager/Senior Vice – President, Sales/Marketing, Sheshunoff & Company, Austin, Texas
    Vice President, Sales, Hawkeye Insurance Services, Des Moines, Iowa
    District Manager, Farmers Insurance Group, California & Iowa.

    EDUCATION AND LICENSES:
    Masters Of Arts, Business And Administration, Columbia Pacific University
    Bachelor of Science, Mankato State University
    Chartered Life Underwriter & Chartered Financial Counselor Designations
    Registered Health Underwriter & Registered Employee Benefits Counselor.

    6 $25

    Course Title:
    529 Plans

    Course Description

    The cost of an average four – year college education is estimated to soon grow to $100,000, and tuition is rising annually. Without a proper investment strategy, funding a child’s college education is prohibitive for many Americans. 529 Plans (The Plan) provide investors with a means of earmarking investments specifically for educational purposes. This course provides an overview of 529 Plans and their components, compliance issues associated with them, and how to determine the right plan for your client.

    LEARNING OBJECTIVES:

  • Recognize the definition of, and need for, 529 Plans.
  • Identify qualifications for participating in The Plans.
  • Understand State regulations.
  • Distinguish compliance issues, including contribution regulations, investment controls, and account procedures.
  • Learn how to sell the best plan to fit your client’s needs.
    .

    TOPICS COVERED:

  • INTRODUCTION
  • LESSON 1: Introduction to 529 Plans
  • LESSON 2: Compliance Issues
  • LESSON 3: Selling 529 Plans
    .

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:
    Established in 1984, MGL provides full service Registration and Compliance services to broker/dealers and investment advisors. Services include: NASD, SEC, NFA, CFTC and multi – state Registration and Renewal services; preparation of Supervisory Procedures; Business Plans; Continuing Education services; Compliance Meetings; Financial Reporting; and Compliance Examinations. For RIA firms, we provide SEC and state registration/renewal services, Form ADV disclosures, Advisory Agreements, Supervisory Procedures, and Compliance Examinations. Leaders in Registration and Compliance, we go Above and Beyond!
    .

  • 2 $25

    Course Title:
    401k

    Course Description

    The 2 – hour course will examine how the 401(k) retirement plan works, and then takes the student through some of the contemporary and upcoming amendments, policies, and plans that will shape the future of the working class, and how they save for retirement.

    Learning Objectives

  • Understand the present and future of the 401(k), and similar retirement plans
  • Appreciate the advantages of such plans for ordinary people whose future would otherwise be insecure
  • Weigh the disadvantages of 401(k) retirement plans
  • Identify ways to invent and grow your 401(k) investment.
    .

    Topics Covered

    • LESSON 1: BASICS OF 401(k) PLANS
    • LESSON 2: BENEFITS AND DRAWBACKS
    • LESSON 3: LEGAL REQUIREMENTS
    • LESSON 4: PLAN FUNDING
    • LESSON 5: DISTRIBUTIONS
    • LESSON 6: TAXES AND YOUR 401(K) ACCOUNT
    • LESSON 7: 401(K) INVESTING

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Quizzes: You will not be required to pass the quizzes in order to start the next lesson.
    Final Exam: You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:
    Established in 1984, MGL provides full service Registration and Compliance services to broker/dealers and investment advisors. Services include: NASD, SEC, NFA, CFTC and multi – state Registration and Renewal services; preparation of Supervisory Procedures; Business Plans; Continuing Education services; Compliance Meetings; Financial Reporting; and Compliance Examinations. For RIA firms, we provide SEC and state registration/renewal services, Form ADV disclosures, Advisory Agreements, Supervisory Procedures, and Compliance Examinations. Leaders in Registration and Compliance, we go Above and Beyond.

  • 2 $25

    Course Title:
    Investment Risk and Policy

    Course Description

    This course covers broad issues of investment risk and policy, including economic factors that affect investments. Further, the idea of investment risk is defined and expanded upon, and then applied to the concept of suitability.

    LEARNING OBJECTIVES:

  • Understand the economic factors affecting investments and investment risks
  • Recognize price changes in the economy
  • Be familiar with monetary and fiscal policy
  • Identify international economic factors
  • Learn about the suitability of investments to clients and investment company portfolio/risk characterisitics
  • Know the kinds of investment risks and the concept of risk/reward
  • Understand the term structure of interest rates
  • Be acquainted with the investment objectives of clients
  • Understand the financial statuses of clients and the risk tolerance of clients
  • Define money market, income, growth, growth/income, aggressive growth bonds, and specialized bonds

    TOPICS COVERED:

    • LESSON 1: Economic Factors Affecting Investments
    • LESSON 2 : Investment Risk Factors
    • LESSON 3: Suitability of Investments to Clients
    • LESSON 4: Investment Company Portfolio/Risk Characteristics

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Quizzes – You will not be required to pass the quizzes to continue to the next lesson.
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

  • 2 $25

    Course Title:
    Investment Analysis

    Course Description:
    This course approaches investments from an analytical point of view, offering outlooks on risk, quantitative evaluation, strategies and portfolio management. Retirement plans and ERISA (Employee Retirement Income Security Act) are also discussed as investment options.

    LEARNING OBJECTIVES:

  • Learn the quantitative methods to evaluate investment
  • Understand the Investment policy and strategy
  • Understand the retirement plans and ERISA
  • Learn about the risks involved, and how to manage a portfolio

    TOPICS COVERED:

  • Introduction
  • Lesson 1: QUANTITATIVE METHODS TO EVALUATE INVESTMENTS
  • Lesson 2 : INVESTMENT POLICY AND STRATEGY
  • Lesson 3: RETIREMENT PLANS AND ERISA
  • Lesson 4: RISKS
  • Lesson 5: PORTFOLIO MANAGEMENT

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 4 hours.

    COURSE PRE – REQUISITE:
    N/A

    TESTING:
    Quizes – You will be required to pass the quizes with a 70% in order to move on to the next lesson.
    Final Exam – You will not be required to take the final exam.

    ABOUT THE SUBJECT MATTER EXPERT:
    EMMERT C. DAUGARD, M.A. CLU ChFC HIA MHP PAHM RHU REBC LIC
    PO Box 90236
    Austin, TX 78709
    (512) 288 – 3646

    EC is an accomplished speaker/trainer who has developed and taught many public insurance continuing education courses. Since 1988, he has designed and taught courses to over 25,000 insurance professionals. He has held the insurance positions of agent/broker, manager, and corporate senior vice – president, and has been licensed for over 20 years in both property/casualty and life/health.

  • 4 $25

    Course Title:
    Introduction to TRACE

    Course Description

    This course provides a detailed review of TRACE. It outlines the history of the program and its purpose.
    It describes the rules associated with TRACE, as well as the reporting requirements for the medium. It details TRACE – Eligible Securities and exclusions, and reviews transaction dissemination practices.
    The course discusses the replacement of FIPS with TRACE as the required method for NASD members to report over – the – counter (OTC) secondary market transactions in eligible fixed income securities to the NASD. Amendments that have been made to TRACE and frequently asked questions are also addressed within this course.
    Most fixed income securities are TRACE – eligible and, therefore, must be reported to the NASD using this tool. This course is essential for banking and financial professionals who deal in securities.


    LEARNING OBJECTIVES:

  • Report over – the – counter (“OTC”) secondary market transactions in eligible fixed income securities to the NASD.
  • Subject certain transaction reports to dissemination.
  • Understand and apply the TRACE rules.
  • Know which securities are TRACE – eligible and which are excluded.
  • Apply the reporting requirements of TRACE to the transactions.

    TOPICS COVERED:
  • INTRODUCTION
  • LESSON 1: INTRODUCTION TO TRACE
  • LESSON 2 : REPORTING TRACE ELIGIBLE SECURITIES.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 1 hour.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam: You must pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:
    Established in 1984, MGL provides full service Registration and Compliance services to broker/dealers and investment advisors. Services include: NASD, SEC, NFA, CFTC and multi – state Registration and Renewal services; preparation of Supervisory Procedures; Business Plans; Continuing Education services; Compliance Meetings; Financial Reporting; and Compliance Examinations. For RIA firms, we provide SEC and state registration/renewal services, Form ADV disclosures, Advisory Agreements, Supervisory Procedures, and Compliance Examinations. Leaders in Registration and Compliance, we go Above and Beyond!
    .

  • 1 $25

    Course Title:
    Introduction to Property and Casualty and The Insurance Contract

    CATEGORY:
    Adjuster.

    Course Description

    This course will introduce you to the basic principles of insurance, including the concept of risk, the different types of risk, and techniques in managing risk. It will introduce you to several basic elements and terms used in the insurance industry. The course will focus on explaining the insurance contract by introducing and reviewing its various parts, including: the elements, characteristics, and parts of a contract, as well as various policy organizations. It will also lesson focus on the insurance transaction. The transaction includes such things as the application process, how the policy is selected, underwritten, and rated. This section will also review some of the legal requirements of applicants and the insurance company, with respect to the insurance transaction.

    Learning Objectives

    • Learn the types of Insurance companies that are available to consumers.
    • Study the basic structure, and types of Property and Casualty insurance.
    • Review who and what exactly makes up and insurance company.
    • Gain an understanding of how the industry is regulated, and who regulates it.
    • To review the insurance contract by discussing its key elements.
    • To learn the basics of the insurance transaction.

    Topics Covered

    • Introduction
    • Lesson 1: Principles of Insurance
    • LESSON 2: The Insurance Company
    • LESSON 3: Marketing Property and Casualty/ The Insurance Contract
    • LESSON 4: The Insurance Transaction

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 6 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    EMMERT C. DAUGARD, M.A. CLU ChFC HIA MHP PAHM RHU REBC LIC

    An accomplished speaker/trainer who has developed and taught many public insurance continuing education courses. Since 1988, designed and taught courses to over 25,000 insurance professionals. Held the insurance positions of agent/broker, manager, and corporate senior vice – president. Licensed for over 20 years in both property/casualty and life/health.

    EXPERIENCE.

    Director, Center for Continuing Education, Austin, Texas
    Manager/Senior Vice – President, Sales/Marketing, Sheshunoff & Company, Austin, Texas
    Vice President, Sales, Hawkeye Insurance Services, Des Moines, Iowa
    District Manager, Farmers Insurance Group, California & Iowa.

    EDUCATION AND LICENSES:
    Masters Of Arts, Business And Administration, Columbia Pacific University
    Bachelor of Science, Mankato State University
    Chartered Life Underwriter & Chartered Financial Counselor Designations
    Registered Health Underwriter & Registered Employee Benefits Counselor.

    6 $25

    Course Description

    The nature and extent of ethics – oriented federal regulation of the securities industry is in the process of profound change. By 2007 or so, institutional participants will likely find their legally – mandated roles and responsibilities dramatically altered. This course is an overview of the most significant regulatory developments from 2003 to date, and how they impact institutional broker/dealers.

    Learning Objectives

    • Identify the impact that regulatory requirements have on the every – day responsibilities of a institutional broker/dealer
    • Associate the impact of the Sarbanes – Oxley Act with greater corporate governance requirements of SROs
    • List the SEC’s fundamental concerns regarding the SRO model, and how those concerns have led to recent rule proposals
    • Define how the SRO Proposed Rule encourages independent governance and transparency, and increased disclosure
    • Describe the fiduciary responsibilities of an adviser reflected in New Rule 204A – 1
    • Examine the aim of a code of ethics for investment advisors
    • List the amendments impacting investment advisors and analysts in NASD Rule 1050 and amendments to NASD Rules 1120, including conflicts of interest, restrictions, personal trading and disclosure
    • Identify how investor protection was impacted by the amendment to NASD Rule 2830

    Topics Covered

    • Introduction
    • LESSON 1: Major Activity at the SEC
    • LESSON 2: Background to the SRO Proposed Rule and Concept Release
    • LESSON 3: Investment Adviser Code of Ethics Requirement
    • LESSON 4: Amendment to NASD Rule 2830 (Investment Company Securities)

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    2 $25

    Course Title:
    HIPPA for Insurance Professionals

    Course Description

    This course provides information about the Health Insurance Portability and Accountability Act (HIPAA). Specifically, you will learn: what the purpose, scope and benefits of HIPAA are, what is the significance of the Administrative Simplification section of HIPAA, how non – compliance is penalized, what changes HIPAA regulations require, what standards HIPAA enforces, how privacy and security are differentiated, what impact HIPAA can have on you and your organization, and how you can make your organization HIPAA – compliant.

    LEARNING OBJECTIVES:

  • Understand what HIPAA is
  • Learn the purpose of HIPAA
  • Understand the key features of HIPAA
  • Understand which entities are affected by HIPAA
  • Appreciate the types of standards HIPAA specifies and understand the areas affected by the standards’ proposed rules
  • Understand the purpose of electronic standardization of transactions, code sets, and unique identifiers
  • Recognize the difference between privacy and security
  • Appreciate the impact of new privacy rules related to HIPAA
  • Understand the costs and savings associated with HIPAA
  • Learn the implementation dates of, and penalties for noncompliance to, HIPAA regulations
  • Understand how HIPAA will impact you and your organization
  • Understand the general process to implement HIPAA compliance in your organization.

    TOPICS COVERED:

  • Introduction
  • Lesson 1: Introduction to HIPAA
  • Lesson 2: HIPAA Standards
  • Lesson 3: Privacy and Security
  • Lesson 4: HIPAA Case Studies
  • Lesson 5: Impact of HIPAA
  • Lesson 6: Implementation of HIPAA.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 3 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    EMMERT C. DAUGARD, M.A. CLU ChFC HIA MHP PAHM RHU REBC LIC
    SUMMARY:
    An accomplished speaker/trainer who has developed and taught many public insurance continuing education courses. Since 1988, designed and taught courses to over 25,000 insurance professionals. Held the insurance positions of agent/broker, manager, and corporate senior vice – president. Licensed for over 20 years in both property/casualty and life/health.

    EXPERIENCE:

  • Director, Center for Continuing Education, Austin, Texas
  • Manager/Senior Vice – – President, Sales/Marketing, Sheshunoff & Company, Austin, Texas
  • Vice President, Sales, Hawkeye Insurance Services, Des Moines, Iowa
  • District Manager, Farmers Insurance Group, California & Iow.

    EDUCATION and LICENSES:

  • Master of Arts, Business and Administration, Columbia Pacific University
  • Bachelor of Science, Mankato State University
  • Chartered Life Underwriter & Chartered Financial Counselor Designations
  • Registered Health Underwriter & Registered Employee Benefits Counselor Designations
  • Managed Healthcare Professional & Health Insurance Associate Designations
  • Associate in Insurance Claims
  • Professional, Academy of Healthcare Management
  • Currently Enrolled in Certified Employee Benefits Specialist Program, Wharton Business School
  • Holds insurance licenses for Life, Property/Casualty, MGA, All – lines Adjuster, and Life Insurance Counselor
    .

  • 3 $25

    Course Title:
    Gramm Leach Bliley Act

    Course Description

    The Gramm Leach Bliley Act, also known as the Financial Modernization Act of 1999, repealed the Depression – era barriers that separated banking, insurance and securities, allowing all three to engage in a statutorily provided list of financial activities. This course will examine the broad umbrella of “financial institutions” that are covered under Gramm Leach Bliley, and discuss the financial activities they may engage in.

    LEARNING OBJECTIVES:

  • Define the major tenets of the Gramm Leach Bliley Act of 1999.
  • Identify what entities are included in the term “financial institutions”.
  • List the financial activities these institutions may engage in.
  • Understand the Financial Privacies Rule & The Safeguarding Rule.
  • Describe the financial privacy rule.
  • Explain the difference between consumers and customers.
  • Define “financial institutions”: as to who must comply with the privacy rule.
  • Explain details a privacy notice statement must provide.
  • Describe the opt – out rights.
  • Discuss disclosure of nonpublic information.
    .

    Topics Covered

    • LESSON 1: INTRODUCTION
    • LESSON 2 : HOW CONSUMERS AND CUSTOMERS ARE AFFECTED

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 1 hour.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Quizzes – You will not be required to pass the quizzes to continue to the next lesson.
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

  • 1 $25

    Course Description :

    As found on President George W. Bush’s archival web site, it is recounted that on December 4, 2003, President Bush signed into law the Fair and Accurate Credit Transactions Act of 2003, ensuring that all citizens are treated fairly when they apply for a mortgage or other form of credit.

    The legislation provides consumers, companies, consumer reporting agencies, and regulators with important new tools that expand access to credit and other financial services for all Americans, enhance the accuracy of consumers’ financial information, and help fight identity theft. These reforms make permanent the uniform national standards of our credit markets, and institute new, strong consumer protections.

    Learning Objectives.

    At the end of this course, the learner should be able to.

    • Outline the background of the FACT Act.
    • Create a Written Identity Theft Prevention Program that is appropriate to the firm’s size, complexity, and nature and scope of their business.
    • Implement a Written Identity Theft Program.
    • Incorporate FINRA’s four program elements for an ITPP.

    This course includes.

    • One Lesson
    • One Online Final Exam
    1 $25

    Course Description :

    As found on President George W. Bush’s archival web site, it is recounted that on December 4, 2003, President Bush signed into law the Fair and Accurate Credit Transactions Act of 2003, ensuring that all citizens are treated fairly when they apply for a mortgage or other form of credit.

    The legislation provides consumers, companies, consumer reporting agencies, and regulators with important new tools that expand access to credit and other financial services for all Americans, enhance the accuracy of consumers’ financial information, and help fight identity theft. These reforms make permanent the uniform national standards of our credit markets, and institute new, strong consumer protections.

    Learning Objectives.

    At the end of this course, the learner should be able to.

    • Outline the background of the FACT Act.
    • Describe the “Red Flags” Rule.
    • Apply the FACT Act to financial institutions.
    • Create a compliant Identity Theft Prevention Program.
    • Identify and designate red flags.

    This course includes.

    • One Lesson
    • One Online Final Exam
    1 $25

    Course Title:
    Evaluating Financial Performance

    CATEGORY:
    .

    Course Description

    This course provides a basic understanding of how to use ratio analysis for evaluating financial performance. It discusses the scope, significance and calculation of ratios whose understanding is key to evaluating the financial strength of a company.

    Learning Objectives

    • Appreciate the significance of using ratios
    • Understand Return on Equity and its components
    • Understand, calculate and use Liquidity Ratios
    • Understand, calculate and use Asset Management Ratios
    • Understand, calculate and use Profitability Ratios
    • Understand, calculate and use Leverage Ratios
    • Understand, calculate and use Market Value Ratios
    • Compare financial statements

    Topics Covered

    • Introduction
    • LESSON 1: RETURN ON EQUITY
    • LESSON 2: LIQUIDITY RATIOS
    • LESSON 3: ASSET MANAGEMENT RATIOS
    • LESSON 4: PROFITABILITY RATIOS
    • LESSON 5: LEVERAGE RATIOS
    • LESSON 6: MARKET VALUE RATIOS
    • LESSON 7: COMPARING FINANCIAL STATEMENTS

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    Matt H. Evans, CPA, CMA, CFM

    Matt has 15 years in financial management, including performance measurement systems, due diligence, strategic planning, and value – based management. He has a diverse background in several sectors – private companies, public companies, government, nonprofits, and educational including a solid understanding of overall technology, including Virtual Private Networks, 3G Wireless technology, Portals, and Web Services.

    He holds a B.S. in Accounting from Louisiana State University.

    2 $25

    Course Description :

    This educational material is intended to provide the reader with an understanding of regulatory and firm – based requirements for ethical dealings between institutional clients, their registered representatives, and their broker/dealer.

    Learning Objectives.

    At the end of this course, the student will be able to.

    • describe SEC Rule 204a
    • List the covered persons under the Rule
    • Review a standardized format sample IA Code of Ethics that is being used in the industry.

    This course includes.

    • One Lesson
    • One Online Final Exam
    1 $25

    Course Title:
    Ethics for Insurance Professionals Advanced

    CATEGORY:
    .

    Course Description

    In this course we do not intend to create a complex, philosophical, intellectual debate on current ethical considerations. Rather, we will present a practical discussion of business ethics with specific examples taken from the insurance industry. The course addresses the complexities of ethical decision making in today’s insurance environment. It suggests ways for insurance producers to establish ethics in the work place and thereby take a step toward reducing the possibility of questionable practices and wrongdoing.
    .

    Learning Objectives

    • Learn the basic concepts of ethics.
    • Learn about professionalism and ethical standards.
    • Learn to differentiate between ethics and values.
    • Define what is meant by conflict of interest.
    • Define the steps involved in ethical decision making
    • Learn the intricacies of the insurance product
    • Understand the responsibilities if an insurance professional
    • Learn about the disclosures involved in policy illustrations
    • Understand the standards of consumer protection in the insurance industry
    • Understand the various regulations of insurance trade practices

    Topics Covered

    • Introduction
    • LESSON 1: Introduction
    • LESSON 2 : Role of Ethics
    • LESSON 3: Ethics Vs. Values
    • LESSON 4: Resolving Ethical Dilemmas
    • LESSON 5: Ethical Decision Making
    • LESSON 6: Nature of the Insurance Product
    • LESSON 7: The Insurance Professional
    • LESSON 8: Insurance Regulation
    • LESSON 9: Policy Illustrations
    • LESSON 10: Consumer Protection in the Insurance Industry
    • LESSON 11: Regulation of Insurance Trade Practices

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 10 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    EMMERT C. DAUGARD, M.A. CLU ChFC HIA MHP PAHM RHU REBC LIC

    An accomplished speaker/trainer who has developed and taught many public insurance continuing education courses. Since 1988, designed and taught courses to over 25,000 insurance professionals. Held the insurance positions of agent/broker, manager, and corporate senior vice – president. Licensed for over 20 years in both property/casualty and life/health.

    EXPERIENCE.

    Director, Center for Continuing Education, Austin, Texas
    Manager/Senior Vice – President, Sales/Marketing, Sheshunoff & Company, Austin, Texas
    Vice President, Sales, Hawkeye Insurance Services, Des Moines, Iowa
    District Manager, Farmers Insurance Group, California & Iowa.

    EDUCATION AND LICENSES:
    Masters Of Arts, Business And Administration, Columbia Pacific University
    Bachelor of Science, Mankato State University
    Chartered Life Underwriter & Chartered Financial Counselor Designations
    Registered Health Underwriter & Registered Employee Benefits Counselor.

    10 $25

    Course Title:
    Estate Planning Basic

    CATEGORY:
    Life.

    Course Description

    This course focuses on are the proper methods of holding legal title to property during your life, and passing your estate on to your heirs in a manner and timing of your choosing, all with minimum taxes and intervention by the legal system. It begins with a consideration of the estate planning process and the documents of transfer. The course then addresses the transfer tax system and the calculation of an individual’s estate tax liability. Estate planning techniques such as trusts, marital and charitable deduction vehicles, and intra – family business and property transfers are then discussed. The course ends with a consideration of post – mortem tax planning.

    Learning Objectives

    • To learn what comprises a taxable estate for federal tax purposes
    • To learn how estate tax liability is calculated
    • To learn how the various tools and techniques of estate planning can be used to manage and dispose of one’s property according to his or her wishes, while minimizing federal transfer taxes.

    Topics Covered

    • Introduction
    • LESSON 1: The Estate Planning Process And Documents Of Transfer
    • LESSON 2: Unified Transfer Tax System And Generation Skipping Transfer Tax (GSTT)
    • LESSON 3: Trusts
    • LESSON 4: Marital Deduction Planning
    • LESSON 5: Charitable Deduction Planning
    • LESSON 6: Intra – Family Business And Property Transfers
    • LESSON 7: Post – Mortem Estate Planning

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 3 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

    3 $25

    Course Title:
    Estate Planning Advanced

    CATEGORY:
    Life.

    LEVEL:
    Advanced.

    Course Description

    This course focuses on are the proper methods of holding legal title to property during your life, and passing your estate on to your heirs in a manner and timing of your choosing, all with minimum taxes and intervention by the legal system. It begins with a consideration of the estate planning process and the documents of transfer. The course then addresses the unified transfer tax system and the calculation of an individual’s estate tax liability. Estate planning techniques such as trusts, marital and charitable deduction vehicles, and intra – family business and property transfers are then discussed. The course ends with a consideration of post – mortem tax planning.

    Learning Objectives

    • Outlines the need for and the elements of the estate planning process.
    • Establishes estate planning strategies.
    • Overview of the Federal Gift tax system.
    • Introduces gross estate and valuation techniques.
    • Explains the purpose and function of the Federal Estate Tax.
    • Explain the purpose and function of trusts.
    • Outlines marital deduction planning.
    • Outlines charitable deduction planning.
    • Addresses estate planning issues for business owners.
    • Outlines post – mortem estate planning.

    Topics Covered

    • Introduction
    • LESSON 1: The Estate Planning Process And Documents Of Transfer
    • LESSON 2 : Unified Transfer Tax System And Generation Skipping Transfer Tax (GSTT)
    • LESSON 3: Gifts And Federal Gift Taxation
    • LESSON 4: The Gross Estate And Valuation Techniques
    • LESSON 5: Calculation Of Federal Estate Tax Liability
    • LESSON 6: Trusts
    • LESSON 7: Marital Deduction Planning
    • LESSON 8: Charitable Deduction Planning
    • LESSON 9: Intra – Family Business And Property Transfers
    • LESSON 10 Tax Planning for Estates of Varying Sizes
    • LESSON 11: Post – Mortem Estate Planning
    • LESSON 12: Conclusion

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 5 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

    5 $25

    Course Title:
    Equities

    Course Description

    This course provides the student with general characteristics of equity securities, including various aspects of stocks and government securities, rights and warrants, computations of interest, yield and price, and how to make recommendations to customers. An educational must – have for beginners in the banking and financial industries.

    LEARNING OBJECTIVES:

  • Learn the general characteristics of equity securities
  • Understand the various aspects of stocks and government securities
  • Learn about the various types of rights and warrants
  • Understand computations of interest, yield and price calculations
  • Learn how to make recommendations to customers
  • Understand the purpose and types of convertible securities, U.S. government securities and U.S. government Agency Securities
  • Learn about the purpose of collateralized mortgage obligations (CMOs)

    TOPICS COVERED:

  • INTRODUCTION
  • LESSON 1: GENERAL CHARACTERISITCS OF EQUITY SECURITIES
  • LESSON 2: STOCKS
  • LESSON 3: RIGHTS AND WARRANTS
  • LESSON 4: TYPES OF STOCK IDENTIFIED BY MARKET RISK
  • LESSON 5: CORPORATE BONDS
    LESSON 6 INTEREST, YIELD, AND PRICE CALCULATIONS.

    • LESSON 7 CONVERTIBLE SECURITIES
    • LESSON 8 U.S. GOVERNMENT SECURITIES
    • LESSON 9 U.S. GOVERNMENT AGENCY SECURITIES
    • LESSON 10 COLLATERALIZED MORTGAGE OBLIGATIONS (CMOS)
    • LESSON 11 MAKING RECOMMENDATIONS TO CUSTOMERS

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 5 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:
    EMMERT C. DAUGARD, M.A. CLU ChFC HIA MHP PAHM RHU REBC LIC

    PO Box 90236
    Austin, TX 78709
    (512) 288 – 3646.

    EC is an accomplished speaker/trainer who has developed and taught many public insurance continuing education courses. Since 1988, he has designed and taught courses to over 25,000 insurance professionals. He has held the insurance positions of agent/broker, manager, and corporate senior vice – president, and has been licensed for over 20 years in both property/casualty and life/health.
    .

  • 5 $25

    Course Title:
    Employment Law

    CATEGORY:
    .

    LEVEL:
    Intermediat.

    Course Description

    This course covers broad issues on Employment and Labor laws as it applies to Insurance Agencies. It covers issues on pre and post employment procedures, employee agent/agency staff/agency staff and employer/agency rights and interviewing strategies in order to avoid claims and suits. Further, it puts emphasis on real world issues related to the employment laws.

    LEARNING OBJECTIVES:
    AFTER YOU COMPLETE THIS COURSE, YOU WILL HAVE LEARNED ABOUT THE FOLLOWING IMPORTANT EMPLOYMENT LAW ISSUES.

    • INTERVIEWING STRATEGIES
    • UNDERSTAND EMPLOYER AGENCY RIGHTS FOR REQUESTING AND DISSEMINATING EMPLOYEE REFERENCES
    • EMPLOYMENT VERIFICATION REQUIREMENTS; DO’S AND DON’TS
    • DRUG TESTING & PHYSICAL EXAMINATIONS
    • EMPLOYMENT AT – WILL DOCTRINE
    • DISCRIMINATION PRINCIPLES
    • RETALIATION
    • HARASSMENT
    • AMERICAN WITH DISABILITIES ACT
    • FAMILY AND MEDICAL LEAVE ACT
    • INVESTIGATING EFFECTIVELY AND WITHIN THE LAW
    • EFFECTIVE DISCIPLINARY POLICIES

    Topics Covered

    • Introduction
    • LESSON 1: Labor and Employment Law
    • LESSON 2: Interviewing Strategies
    • LESSON 3: Employment References
    • LESSON 4: Employment Verification Requirements of Employers
    • LESSON 5: Drug Testing And Physical Examinations
    • LESSON 6: Is There Really Still Employment – At – Will?
    • LESSON 7: Discrimination Principles
    • LESSON 8: Retaliation
    • LESSON 9: Harassment
    • LESSON 10: Americans With Disabilities Act (ADA)
    • LESSON 11: Family Leave and Medical Leave Act (FLMA)
    • LESSON 12: Investigating Effectively and Within The Law
    • LESSON 13: Effective Disciplinary Policies

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 6 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    Trey Wood

    Trey is a partner with the Houston law firm Alaniz and Schraeder, L.L.P., which concentrates its practice in the exclusive representation of management in the area of Labor and Employment Law. Mr. Wood attended Texas Tech School of Law and was licensed in 1988. He has been practicing as a trial attorney since that time and has extensive experience in counseling clients on all aspects of the employer/employee relationship and has tried many employment cases in both federal and state courts across the country. Mr. Wood has also represented clients before various state and federal agencies such as the EEOC, OSHA, Department of Labor, the Texas Commission on Human Rights and the Texas Workforce Commission. Recently, Mr. Wood testified in national hearings before the Department of Labor in opposition to OSHA’s proposed ergonomics standard. Mr. Wood is a member of the American Bar Association, the Civil Trial and Labor and Employment sections of the State Bar, as well as the Texas Association of Defense Counsel and the Houston Bar Association. Mr. Wood is Board Certified by the Texas Board of Legal Specialization in the area of Labor and Employment Law and is a frequent speaker before various trade organizations on all aspects of employment law. He has gratuitously provided continuing education for both the IIAH as well as several of our member agencies since 1997.

    6 $25

    Course Title:
    Do Not Call & The Securities Industry

    Course Description

    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.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

  • 2 $25

    Course Title:
    Direct Participation Program

    Course Description

    This course provides financial professionals with a better understanding of the concept of Direct Participation Programs (DPPs), as an investment that allows the flow – though of tax – consequences to the investor.
    Limited partnerships as the most common form of DPPs are discussed in great detail, including their formation, the role of limited and general partners, the calculation of basis and other legalities involved in the process. Depreciation of property is also explained in conjunction with its tax benefits to partnerships. The nature of other types of DPPs, oil and gas programs, real estate syndicates and equipment leasing are discussed in view of the impact on investors.
    Finally, there is an overview of the analysis required by both registered reps selling DPPs and those investing in them. Issues related to underwriting DPPs are also highlighted for the information of the investor.

    LEARNING OBJECTIVES:

  • Specify the objectives of a direct participation program.
  • List the documentation requirements for limited partnerships.
  • Compare and contrast the role of limited partners with that of general partners.
  • Identify the causes for dissolution of partnerships.
  • Compare and contrast the characteristics of a limited partnership as compared to those of a corporation.
  • Define depreciation and state when and how depreciation is applicable on property.
  • State the tax benefits of depreciation.
  • State the purpose of partnership basis and describe how it is to be calculated.
  • Compute the alternative minimum tax payable.
  • List different types of direct participation programs and state their tax benefits.
  • Specify the different DPP investment options available in terms of the benefits to the investor.
  • Identify the factors to be considered when analyzing an investment
  • Identify the situation where a conflict of interest might occur.
  • Identify the risks factors in any type of DPP investment
  • Define managed and non – managed offerings
  • Describe the role of the NASD in the distribution of DPPs.

    TOPICS COVERED:

  • Introduction
  • LESSON 1: Direct Participation: Definition, Structure and Documentation
  • LESSON 2: The Rights, Obligations, and Restrictions on Partners
  • LESSON 3: Tax Characteristics of a Limited Partnership Vs. a Corporation
  • LESSON 4: Depreciation
    LESSON 5: Tax Consequences for Partners
    LESSON 6: Real Estate Syndications
    LESSON 7: Oil and Gas Drilling Programs
    LESSON 8: Equipment Leasing Programs
    LESSON 9: Investment Analysis
    LESSON 10: Underwriting.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 3 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be requied to pass the final exam with a 70% in order to received course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.
    .

  • 3 $25

    Course Description :

    Finding and training qualified employees is an expensive endeavor. Employers want to attract, motivate and retain key employees, but want to do this without substantially increasing their costs. One way to do this is to design an employee benefit program that enhances the firm’s ability to retain critical employees.

    In that tax – qualified pension and profit – sharing plans do not allow an employer to discriminate in favor of selected key employees, those that the employer normally wants to favor, many employers turn to non – qualified deferred compensation plans. These plans require no government approval and can be arranged exclusively for the benefit of top management.

    Learning Objectives.

    At the end of this course, the learner should be able to.

    • Describe the three types of benefit plans.
    • List the four primary financial security concerns.
    • Differentiate between the different types of non – qualified, non – equity plans.
    • Use one of five different strategies to secure a non – qualified deferred compensation plan.
    • Evaluate the different ways to fund a benefit plan.
    • Appraise the pros and cons of using a non – qualified deferred compensation plan.

    This course includes.

    • One Lesson
    • One Online Final Exam
    1 $25

    Course Title:
    Creating Value Through Financial Management

    CATEGORY:
    .

    Course Description

    This course provides a concise overview of how financial management is used to create higher market values for an organization. Since the information contained within these lessons deals with advanced topics, the user should have a good working knowledge of both accounting and financial management prior to taking this course. Creating Value Through Financial Management is recommended for 6 hours of Continuing Professional Education.

    Learning Objectives

    • How to move your company into more value – added activities
    • How to break the accounting habit, and why you should
    • How to understand the difference between cash – flow and earnings
    • How to look for value that is not on the Balance Sheet
    • How to restructure a company
    • Is a merger the right plan?
    • How to initiate Value Based Management in your company
    • How to measure the creation of value
    • How to use innovative strategizing to create real value

    Topics Covered

    • Introduction
    • LESSON 1: The New Role of Finance
    • LESSON 2: Value – Based Management
    • LESSON 3: Measuring Value
    • LESSON 4: Real Sources of Value

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 6 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    Matt H. Evans, CPA, CMA, CFM

    Matt has 15 years in financial management, including performance measurement systems, due diligence, strategic planning, and value – based management. He has a diverse background in several sectors – private companies, public companies, government, nonprofits, and educational including a solid understanding of overall technology, including Virtual Private Networks, 3G Wireless technology, Portals, and Web Services.

    He holds a B.S. in Accounting from Louisiana State University.
    .

    6 $25

    Course Title:
    Principles of Insurance

    Course Description

    This course provides a general overview of insurance principles, beginning with frequently used terms and their definitions as used in the industry. As the course develops, it illustrates the insurance process and its need, and then grows into a manual of sorts, guiding the reader through the various mechanics, the type of insurance products available, and the applicability in different situations, illustrating with examples wherever possible.

    Learning Objectives

    • Differentiate between insurance, insured and insurer.
    • Define and understand the concept of premium.
    • The similarities between risk transfer mechanisms and insurance.
    • Understand key concepts/terms used in relation to insurance.
    • Understand the need for insurance.
    • Understand the various types of insurance available.
    • Understand the mechanics of insurance.
    • Understand the role of insurance agents
    • Understand the mechanics of Life Insurance, its need and importance.
    • Understand the application process.
    • Understand the policy clauses.
    • Differentiate between the various types of insurance companies.
    • Understand the concepts of Whole Life Insurance, Joint Life Insurance etc.
    • Identify the various types of Permanent Insurance.
    • Compare Term and Permanent Insurance.
    • Distinguish between various Policy Variations.
    • Learn the mechanics of filing claims, receipt of proceeds.
    • Understand the need for, and the mechanics of, Insurance Underwriting.

      TOPICS COVERED: .

    • Introduction
    • LESSON 1: INSURANCE – Basics
    • LESSON 2 : LIFE INSURANCE
    • LESSON 3: HEALTH INSURANCE
    • LESSON 4: LONG – TERM CARE INSURANCE
    • LESSON 5: DISABILITY INSURANCE
    • LESSON 6: PROPERTY AND CASUALTY
      INSURANCE/HOMEOWNER INSURANCE
    • LESSON 7: PERSONAL PROPERTY INSURANCE
    • LESSON 8: FIRE INSURANCE
    • LESSON 9: AUTOMOBILE INSURANCE
    • LESSON 10: INSURANCE FRAUD
    • LESSON 11: GROUP INSURANCE
    • LESSON 12: COMMERCIAL GENERAL LIABILITY
    • LESSON 13: PRINCIPLES OF RISK MANAGEMENT
    • LESSON 14: PRINCIPLES OF REINSURANCE

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 17 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    EMMERT C. DAUGARD, M.A. CLU ChFC HIA MHP PAHM RHU REBC LIC

    An accomplished speaker/trainer who has developed and taught many public insurance continuing education courses. Since 1988, designed and taught courses to over 25,000 insurance professionals. Held the insurance positions of agent/broker, manager, and corporate senior vice – president. Licensed for over 20 years in both property/casualty and life/health.

    EXPERIENCE.

    Director, Center for Continuing Education, Austin, Texas
    Manager/Senior Vice – President, Sales/Marketing, Sheshunoff & Company, Austin, Texas
    Vice President, Sales, Hawkeye Insurance Services, Des Moines, Iowa
    District Manager, Farmers Insurance Group, California & Iowa.

    EDUCATION AND LICENSES:
    Masters Of Arts, Business And Administration, Columbia Pacific University
    Bachelor of Science, Mankato State University
    Chartered Life Underwriter & Chartered Financial Counselor Designations
    Registered Health Underwriter & Registered Employee Benefits Counselor.

    17 $25

    Course Title:
    Principles of Fraud and Consumer Protection

    Course Description

    An increasingly – global marketplace and a sometimes – unstable economy have driven many in the business sector to seek alternative methods of profit and success: fraudulent activities. Increased scrutiny has placed fraud awareness at the forefront of the marketplace; recognizing the warning signs and having anti – fraud measures in place can greatly reduce a company or individual’s liability, and protect consumers.

    Learning Objectives

    • Understand corporate and individual motives for committing fraud.
    • Recognize some common risk factors that make businesses susceptible to fraudulent activities.
    • Apply methods and controls for avoiding business fraud, including deterrents.
    • Learn the protocol for fraud resolution.
    • Recognize various laws and regulations protecting consumers in the marketplace.

    Topics Covered

    • Lesson 1: The How and Why of Fraud
    • Lesson 2: An Ounce of Prevention
    • Lesson 3: A Pound of Cure

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 4 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    Barbara CB Harrington, LUTCF.

    Barbara CB Harrington is the former Director and founder of Harrington School, a pre – licensing school and current Director and founder of Harrington Center in Poughkeepsie, NY. Harrington Center offers Continuing Education Training to Insurance agents as well as Compliance services to Mutual Fund and Insurance Companies.

    Barbara has authored over 45 continuing education courses for the insurance and securities field and has been a consistent guest lecturer on both subjects.

    She is licensed in Life, Health, P&C and Securities and specialized for 15 years in the field of Pension and Estate Planning.

    Barbara is the proud mother of three adult children, grandmother of five, and great grandmother of three. She lives in Hyde Park, NY, with her dog Holly.
    .

    4 $25

    Course Title:
    Principles of Banking

    Course Description

    This course introduces fundamental banking principles and practices to new bank personnel. It provides an overview of the history of US banking and how banks operate today, including their products, services, and functions as financial institutions. Principles of Banking looks at laws, rules, and regulations that shape and govern the banking system, and its continual evolution.

    LEARNING OBJECTIVES:

  • Knowledge of the basic vocabulary of banking terms.
  • Knowledge of the evolution of the US banking system.
  • Recognize the various financial institutions that comprise the US Banking System.
  • Understand of the role of the Federal Reserve and other government regulatory agencies in the functioning of the banking industry.
  • Describe the main functions of commercial banks.
  • List the products and services that banks offer, including deposit instruments, bank loans, investments, and transactions.
  • Recognize the various services targeted to different markets like consumers, corporations and governments.
  • Understand the role of online banking, and how it’s changed modern banking.
  • Recognition of future trends in banking.

    TOPICS COVERED:

  • Introduction
  • Lesson 1: Basic Banking Operations
  • Lesson 2: History of U.S. Banking
  • Lesson 3: A Uniform Currency
  • Lesson 4: Banking Act of 1933 And 1934
  • Lesson 5: Gramm Leach Bliley Act of 1999
  • Lesson 6: Banking Today
  • Lesson 7: Types of Financial Institutions
  • Lesson 8: Regulators
  • Lesson 9: The Core Function
  • Lesson 10: Fund Acquisitions
  • Lesson 11: Other Banking Products and Services
  • Lesson 12: Credit Function: Creating Assets
  • Lesson 13: Funds Management
  • Lesson 14: Customer Segments
  • Lesson 15: Online Banking
  • Lesson 16: Future Trends in Bankin.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 10 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:
    American Academy of Financial Training Inc. (AAFT) provides outstanding customized training, globally, on a broad mix of financial and banking topics. Our instructors are top practitioners in their respective fields and present information in a captivating, energized, highly interactive style. AAFT experts are also available for consulting and online course development projects. For additional information, log onto our website at www.aaft.net.

  • 10 $25

    Course Title:
    Options Basic

    Course Description

    Options basics provides the student with a general overview of options. The course focuses on the main strategies used in options training and imparts knowledge about strategies that must be used in order to earn a maximum profit. Much emphasis is placed on call selling, call buying, put selling and put buying, as these are the main elements of options.

    Learning Objectives

    • Understand how options are created, contracted and traded.
    • Have a better understanding of the two different types of options available.
    • Be familiar with strategies to be used in options trading.
    • Get acquainted with terms like call buying, call selling, put buying, put selling, which are commonly used in options trading.
    • Understand which strategy best corresponds to an option and why.
    • Learn the different elements involved in the buying/selling of puts/calls.

      TOPICS COVERED:
    • Introduction
    • Lesson 1: Options

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 1 hour.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

    1 $25

    Course Title:
    New Employee

    CATEGORY:
    .

    Course Description

    As a new employee to the insurance industry you may find yourself overwhelmed with understanding the components of the industry and the terminology being used around you. This course will provide you with an understanding of the general make up of the industry and the terminology in order for you to do your job well.

    Learning Objectives

    • Learn the basic concepts of insurance
    • Learn insurance terms
    • Define who needs insurance
    • See how an insurance agency is organized
    • Learn about continuing education, errors & omissions
    • Define what makes a valuable employee and explore future career opportunities
    • Obtain valuable insurance resource information

    Topics Covered

    • Introduction
    • LESSON 1: Purpose of Insurance
    • LESSON 2 : Independent Insurance Agency System
    • LESSON 3: You and Your Agency
    • LESSON 4: Being an Insurance Professional Part 1
    • LESSON 5: Being an Insurance Professional Part 2
    • LESSON 6: Continuing Education

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 3 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.
    .

    3 $25

    Prospecting is an integral part of every sales professional’s toolkit for success. Forming good prospecting habits can set the stage for further success throughout your career. This course, based on the highly respected practices of Jack and Gary Kinder, who have successfully trained thousands of sales leaders in the insurance and financial services industry, examines prospecting from every angle, providing students with simple – yet – effective tools to improve technique and presentation. From understanding centers of influence, to developing nests, this course provides students with knowledge and skill sets that can lead to improved professional opportunities.

    1 $25

    Investors have increasingly turned to mutual funds to save for education, retirement and other financial goals. The popularity of mutual funds has resulted in significant industry growth in terms of the number of funds, the variety of funds, and the dollar value of assets under management.
    This course presents a complete and comprehensive overview on the topic of mutual funds. It begins with a thorough study of mutual fund characteristics, features and benefits. The course covers several major forms of investment management companies including Unit Investment Trusts (UITs), Open – end and Closed – end mutual funds, and Exchange Traded Funds (ETFs).

    1 $25

    Course Title:
    Mutual Funds

    Course Description

    Mutual funds are important investment instruments that have been essential to both individual and corporate investors for well over a century. Beginning with a brief overview of basic investment principles and the evolution of mutual funds, this course addresses the fundamentals of mutual funds, how they are categorized, their roles and functions, and their investment characteristics. Compliance and regulatory issues are also examined.

    LEARNING OBJECTIVES:
    Understand the history of mutual funds.
    Know the basic definition and workings of mutual funds.
    Recognize the various financial entities that work with mutual funds.
    Identify the impact and provisions of the Investment Companies Act of 1940, and its impact on mutual funds.
    Recognize different types of mutual funds.
    Identify the advantages and disadvantages of investing in mutual funds.
    Recognize compliance and regulatory elements governing mutual fund sales and programs.
    .

    TOPICS COVERED:

  • Introduction
  • Lesson 1: Mutual Funds
  • Lesson 2: Mutual Funds in the Investment Companies Act of 1940
  • Lesson 3: Types of Mutual Funds
  • Lesson 4: Pros & Cons of Mutual Funds.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:
    This course was created by MGL Consulting, a leading provider of registration and compliance services to the financial services industry, since 1984. MGL’s team of experienced professionals provide a wide range of products and services designed specifically for broker/dealers, investment advisors and insurance companies, including:

  • NASD, SEC and multi – state licensing and registration for broker/dealers
  • SEC and multi – state licensing for investment advisors
  • Insurance licensing, appointment and renewal services
  • Written Supervisory Procedures
  • Business Plan development
  • Business Continuity Plans
  • Regulatory Compliance Audits
  • Continuing Education Needs Analysis and Program Development
  • Financial Reporting
  • Annual Compliance Meeting Programs

    For more information regarding MGL Consulting and its services, please visit them online at www.mglconsulting.com.

  • 2 $25

    Course Title:
    Mergers and Acquisitions – – Part 3

    CATEGORY:
    .

    Course Description

    This course continues with an overview of the merger and acquisition process, including the valuation process, post merger integration and anti – takeover defenses. The purpose of this course is to give the user a solid understanding of how mergers and acquisitions work. This course deals with advanced concepts in valuation.

    Learning Objectives

    • Understanding some of the risk factors associated with post merger integration through the valuation process
    • How to successfully improve and implement the Post Merger Integration
    • Identifying a number of measures that can be employed for preventing a merger.

    Topics Covered

    • Introduction
    • LESSON 1: The Valuation Process
    • LESSON 2: Post Merger Integration
    • LESSON 3: Anti – Takeover Defenses

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

    2 $25

    Course Title:
    Mergers and Acquisitions – – Part 2

    CATEGORY:
    .

    Course Description

    This course helps provide further understanding of the Merger and Acquisition process, highlighting the due diligence required and the consequences of not conducting a deep and thorough due diligence before and during the merger and acquisition procedure. The students will also understand the different steps required for the valuation of the Target Company and the financial understanding required by the students of Mergers & Acquisitions.

    Learning Objectives

    • To enable the student understand the importance of due diligence.
    • To appreciate the reasons for what can go wrong while carrying out due diligence.
    • The crucial aspect of reworking the financials in the due diligence process.
    • How to opt to go beyond the financials to have an in – depth due diligence of the M&A process.
    • And the concept of Reverse Mergers.
    • The students will be familiarized with the Income streams relevant to valuation concepts and standards.
    • The method for conducting valuation called Free Cash Flow.
    • Discount Rate
    • Basic Applications
    • Valuation Standards

    Topics Covered

    • Introduction
    • LESSON 1: Due Diligence
    • LESSON 2: Valuation Concepts & Standards

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

    2 $25

    Course Title:
    Mergers and Acquisitions – – Part 1

    CATEGORY:
    .

    Course Description

    This course (part 1) provides a concise overview of the merger and acquisition process, including the legal process, federal regulations. The course also explains the various advantages and motivations for a company to consider the option of merger and acquisition. The purpose of the course is to give the user a solid understanding of the different legal and regulatory considerations that play a very important part in the M&A decision making.

    Learning Objectives

    • To enable the students to understand the basic concept of Mergers & Acquisition
    • To appreciate and acknowledge the reasons for the M& A option
    • Assist students to understand the overall process of M&A
    • The students will be familiarized with the legal and regulatory considerations of M&A
    • How agreements of M&A are drawn
    • The regulatory & legal environment for M&A

    Topics Covered

    • Introduction
    • LESSON 1: Basic Concepts
    • LESSON 2: Legal Considerations
    • LESSON 3: The Regulatory Environment

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 1 hour.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

    1 $25

    Course Title:
    Medicare

    Course Description

    This course will introduce basic concepts for understanding Medicare coverage in its two parts: hospital insurance and medical insurance. A brief history of the program and a discussion of the role of private insurance companies is followed by eligibility requirements, exclusions, and claims payments. Peer Review Organizations and Service Provider Certification are also discussed.

    LEARNING OBJECTIVES:

  • Understand the purpose and background of Medicare
  • Recognize the role of private insurance companies
  • Identify the two parts of Medicare, and what each covers
  • Be familiar with enrollment, exclusions, and eligibility requirements
  • Understand the role of Peer Review Organizations (PROs)
  • Be knowledgeable of the Medicare claims payment process.

    T
    OPICS COVERED:

    • Introduction
    • LESSON 1: History, Administration and Role of Private Insurance Companies in Medicare
    • LESSON 2: Components of Medicare Coverage
    • LESSON 3: Medicare Eligibility
    • LESSON 4: Enrollment
    • LESSON 5: Medicare Exclusions
    • LESSON 6: Service Providers
    • LESSON 7: Peer Review Organizations (PROs)
    • LESSON 8: Claims Settlement

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 3 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Quizzes – You will not be required to pass the quizzes to move on to the next lesson.
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

  • 3 $25

    Course Title:
    Margin Accounts

    Course Description

    This course addresses the various types of customer accounts and their management by third parties, and how and why accounts are closed or transferred. The student will also gain an understanding about the calculations required for margin accounts, and learn about short sales.

    LEARNING OBJECTIVES:

  • Understand customer accounts and customer accounts managed by a third party
  • Grasp discretionary accounts and accounts requiring employer notification
  • Comprehend prohibited accounts, frozen accounts, and death or bankruptcy of a customer
  • Know margin accounts and long margin accounts
  • Perform additional calculations for a long margin account
  • Understand the purpose of short sales
  • Know how to perform additional calculations in short margin accounts
  • Become familiar with mixed margin accounts.

    TOPICS COVERED:

  • INTRODUCTION
  • LESSON 1: Customer Accounts
  • LESSON 2: Customer Accounts Managed by a Third Party
  • LESSON 3: Discretionary Accounts and Accounts Requiring Employer Notification
  • LESSON 4: Prohibited Accounts, Frozen Accounts, and Death or Bankruptcy of a Customer.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 4 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Quizzes: You will not be required to pass the quizzes in order to start the next lesson.
    Final Exam: You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

  • 4 $25

    Course Title:
    Managing Electronic Communication

    Course Description

    This course covers the purpose of an email policy and identifies the issues faced by organizations using emails.
    It also discusses creating and deploying an effective email policy for companies.
    Finally, the legislations regarding email monitoring are identified with special emphasis on Banking & Finance Regulatory Compliance.

    LEARNING OBJECTIVES:

  • Understand the necessity of a corporate policy on email use and retention
  • Outline the number of ways in which the company email policy can be enforced
  • Learn about the possibility of legal liability faced by a company
  • Understand what are confidentiality breaches and how they come about
  • Understand how a company’s reputation can be damaged by email content
  • Learn how a company’s productivity and resources stand to be affected by inappropriate use of the email system
  • Understand the various threats that an organization faces due to sexist or racist content and intellectual property
  • Understand how to effectively retain and delete electronic records
  • Learn the state and federal legislations regarding email monitoring
  • Understand the legal standpoint on email auditing and interception.

    TOPICS COVERED:

  • Introduction
  • Lesson 1: What is an Email Policy?
  • Lesson 2: What Are The Email Threats That Companies Face
  • Lesson 3: Creating And Deploying An Electronic Messaging Policy
  • Lesson 4: Legislation.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Quizzes: You will not be required to pass the quizzes in order to start the next lesson.
    Final Exam: You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

  • 2 $25

    Course Title:
    Managing Corporate Records

    CATEGORY:
    .

    Course Description

    Recent news events have brought to attention the severe legal and audit risks associated with records management programs that are not fully and systematically enforced. This course will cover the critical issues and steps you need to know to establish and enforce a records management program that is simple and legally defendable.

    Learning Objectives

    • Define Records Management
    • Identify the primary benefits of a records management program
    • Learn the basic elements of implementing a records management program
    • Explain the lifecycle model
    • Identify the rules governing the retention and destruction of records
    • Learn about the National Standard
    • Identify reasons for establishing a records management program
    • Learn about the associated risks
    • Identify valuable audit techniques
    • Learn about the Corporate Responsibility Legislation
    • Identify ways to avoid litigation
    • Learn about record naming and retention standards
    • Exposure to typical approaches to records control

    Topics Covered

    • Introduction
    • LESSON 1: What is Records Management?
    • LESSON 2: Implementing a Records Management Program
    • LESSON 3: Enforcing Records Management
    • LESSON 4: Legal Ramifications of Records Control
    • LESSON 5: Best Practices of Records Control

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 1 hour.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

    1 $25

    Course Title:
    Long Term Care

    Course Description

    As a significant portion of the U.S. population ages, the topic of long term care is an increasingly hot topic being addressed by more and more individuals and families. This course takes an in – depth look at long term care (LTC) and long term insurance, ranging from a basic understanding of LTC to the complications that may arise in the absence of a policy. The advantages of policies and their features are weighed, and the differences between the policies offered by various institutions are discussed. It must be kept in mind that policy coverage, rules and regulations and conditions vary from company to company and state to state.

    LEARNING OBJECTIVES:

  • Understand what long term care entails in terms of physical and financial resources.
  • Identify the purpose and concept of LTC insurance.
  • Understand policy conditions, exclusions, rules and regulations.
  • Identify the different policy types, and what each policy offers by way of benefits, limitations and exclusions.
  • Recognize the function of care – providing facilities and entities, what level of care each provides, and how they are included in LTC policies.
  • Learn the role of the government in the LTC market through Social Security, Medicare and Medicaid.
  • Recognize how shifting demographics and costs impact the LTC insurance industry.
  • Understand how group policies differ from individual policies.

    TOPICS COVERED:

  • Introduction
  • Lesson 1: Introduction to Long – term Care Insurance (LTCi)
  • Lesson 2: Statistics and the Cost of Long – term Care
  • Lesson 3: Policies, Options and Needs
  • Lesson 4: Long – term Care Funding and Providers
    Lesson 5: How Medicare, Medicaid and HMOs Provide Long – term Care
    Lesson 6: Basic Policy Features
    Lesson 7: Understanding Long – term Care Insurance Benefits
    Lesson 8: Types of PoliciesLesson 9: Group Coverage
    Lesson 10: Long – term Care – related Issues.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 10 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Quizzes: You will not be required to pass the quizzes in order to start the next lesson.
    Final Exam: You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    EMMERT C. DAUGARD, M.A. CLU ChFC HIA MHP PAHM RHU REBC LIC
    SUMMARY:
    An accomplished speaker/trainer who has developed and taught many public insurance continuing education courses. Since 1988, designed and taught courses to over 25,000 insurance professionals. Held the insurance positions of agent/broker, manager, and corporate senior vice – president. Licensed for over 20 years in both property/casualty and life/health.

    EXPERIENCE:

  • Director, Center for Continuing Education, Austin, Texas
  • Manager/Senior Vice – – President, Sales/Marketing, Sheshunoff & Company, Austin, Texas
  • Vice President, Sales, Hawkeye Insurance Services, Des Moines, Iowa
  • District Manager, Farmers Insurance Group, California & Iow.

    EDUCATION and LICENSES:

  • Master of Arts, Business and Administration, Columbia Pacific University
  • Bachelor of Science, Mankato State University
  • Chartered Life Underwriter & Chartered Financial Counselor Designations
  • Registered Health Underwriter & Registered Employee Benefits Counselor Designations
  • Managed Healthcare Professional & Health Insurance Associate Designations
  • Associate in Insurance Claims
  • Professional, Academy of Healthcare Management
  • Currently Enrolled in Certified Employee Benefits Specialist Program, Wharton Business School
  • Holds insurance licenses for Life, Property/Casualty, MGA, All – lines Adjuster, and Life Insurance Counselor
    .

  • 10 $25

    Course Title:
    Life, Health, Disability and Long Term Care

    Course Description

    This course provides an overview to the insurance students about four main types of insurance policies. The four policies Life, Health, Long Term Care and Disability Insurance are the most widely selling policies in the insurance industry.
    This course contains some valuable information about the principles of life, health, disability and long term care insurance policies, some important related definitions, needs for the purchase of different kinds of insurance policies, application process for applying these kids of insurance, their after effects and different sub forms of these insurance policies.

    LEARNING OBJECTIVES:
    Understand the mechanics of Life Insurance, its need and importance.
    Understand the application process.
    Understand the policy clauses.
    Differentiate between the various types of insurance companies.
    Understand the concepts of Whole Life Insurance, Joint Life Insurance etc.
    Identify the various types of Permanent Insurance.
    Compare Term and Permanent Insurance.
    Distinguish between various Policy Variations.
    Learn the mechanics of filing claims, receipt of proceeds.
    Understand the need for, and the mechanics of, Insurance Underwriting.
    .

    TOPICS COVERED:

  • Introduction
  • Lesson 1: LIFE INSURANCE
  • Lesson 2: HEALTH INSURANCE
  • Lesson 3: LONG – TERM CARE INSURANCE
  • Lesson 4: DISABILITY INSURANCE.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 4 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Quizzes: You will not be required to pass the quizzes in order to start the next lesson.
    Final Exam: You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    EMMERT C. DAUGARD, M.A. CLU ChFC HIA MHP PAHM RHU REBC LIC
    SUMMARY:
    An accomplished speaker/trainer who has developed and taught many public insurance continuing education courses. Since 1988, designed and taught courses to over 25,000 insurance professionals. Held the insurance positions of agent/broker, manager, and corporate senior vice – president. Licensed for over 20 years in both property/casualty and life/health.

    EXPERIENCE:

  • Director, Center for Continuing Education, Austin, Texas
  • Manager/Senior Vice – – President, Sales/Marketing, Sheshunoff & Company, Austin, Texas
  • Vice President, Sales, Hawkeye Insurance Services, Des Moines, Iowa
  • District Manager, Farmers Insurance Group, California & Iow.

    EDUCATION and LICENSES:

  • Master of Arts, Business and Administration, Columbia Pacific University
  • Bachelor of Science, Mankato State University
  • Chartered Life Underwriter & Chartered Financial Counselor Designations
  • Registered Health Underwriter & Registered Employee Benefits Counselor Designations
  • Managed Healthcare Professional & Health Insurance Associate Designations
  • Associate in Insurance Claims
  • Professional, Academy of Healthcare Management
  • Currently Enrolled in Certified Employee Benefits Specialist Program, Wharton Business School
  • Holds insurance licenses for Life, Property/Casualty, MGA, All – lines Adjuster, and Life Insurance Counselor
    .

  • 4 $25

    Course Title:
    Know Your Customer

    Course Description

    This course is designed to encompass key issues regarding suitability.
    It looks at the various suitability standards including the applicability of the suitability rule to online communications. It examines best practices when dealing with the suitability standards, and outlines the industry practice as it exists today. To highlight the importance of suitability claims, the course also focuses on how to avoid them and the remedial process.

    LEARNING OBJECTIVES:

  • Learn about Suitability rules and how they developed
  • Familiarize the student with Rule 2310 – Recommendations to Customers and the general industry practice
  • Understand what is Customer – specific Suitability and the basis for making recommendations – Reasonable Basis Suitability
  • Educate the student about best practices when dealing in speculative securities as well as the information the dealer requires in order to make a recommendation to a client
  • Familiarize the student with Rule 405 – “Know Your Customer Rule”
  • Learn about Securities Exchange Act of 1934 and the role of the Securities and Exchange Commission
  • Familiarize the student with applicability of the suitability rule to electronic communications
  • Learn about suitability claims and how to avoid them
  • Familiarize the student with the remedial proces.

    TOPICS COVERED:

  • LESSON 1 WHAT IS SUITABILITY?
  • LESSON 2 SUITABILITY STANDARDS
  • LESSON 3 SUITABILITY RULE AND ONLINE COMMUNICATIONS
  • LESSON 4 SUITABILITY CLAIMS.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:
    MGL Consulting

    Established in 1984, MGL provides full service Registration and Compliance services to broker/dealers and investment advisors. Services include: NASD, SEC, NFA, CFTC and multi – state Registration and Renewal services; preparation of Supervisory Procedures; Business Plans; Continuing Education services; Compliance Meetings; Financial Reporting; and Compliance Examinations. For RIA firms, we provide SEC and state registration/renewal services, Form ADV disclosures, Advisory Agreements, Supervisory Procedures, and Compliance Examinations. Leaders in Registration and Compliance, we go Above and Beyond!

    .

  • 2 $25

    Course Title:
    Keogh (HR – 10) Plans.

    Course Description

    This course examines how Keogh Plans provide retirement savings for self – employed persons or employees of unincorporated businesses, and discusses how Keogh Plans are funded, eligibility, contribution limits, taxation, and distribution rules. .

    Learning Objectives

    • Examine the purpose of a Keogh Plan
    • Be acquainted with how Keogh Plans are funded
    • Be acquainted with eligibility rules and employee coverage under a Keogh Plan
    • Be acquainted with contribution limits under a Keogh Plan
    • Be acquainted with tax treatment under a Keogh Plan
    • Be acquainted with distribution rules for a Keogh Plan

    TOPICS COVERED: .

    Introduction.

    Lesson 1: PURPOSE.

    Lesson 2: FUNDING.

    Lesson 3: ELIGIBILITY AND EMPLOYEE COVERAGE.

    Lesson 4: LIMITS ON CONTRIBUTIONS AND BENEFITS.

    Lesson 5: TAXATION.

    Lesson 6: DISTRIBUTION RULE.

    .

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page. .

    SEAT TIME:
    This course has been approved for 1 hour.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online. .

    ABOUT THE SUBJECT MATTER EXPERT:
    Prepared by: Matt H. Evans, CPA, CMA, CFM .

    This course provides a concise overview of capital budgeting analysis. This course is recommended for 2 hours of Continuing Professional Education. In order to receive credit, you will need to pass a multiple choice exam which is administered over the internet at www.exinfm.com/training .

    A companion toll free course can be accessed by dialing 1 – 877 – 689 – 4097, option 3, ID 752. .

    .

    .

    1 $25

    Course Description

    This course covers the risks and rewards faced by investors who chose to invest internationally. When one invests in companies outside of the United States, they must take into consideration various factors such as currency risk, different regulatory and operating policies, and ownership limitations by U.S. investors in certain foreign companies. The course will explore international investment products, review the various types of investments, how they work, who would be a suitable candidate for international investing, and other considerations that are important to both the financial professionals who sell them and the investor using them as investment tools.

    Learning Objectives

    Upon completion of this course, the student should be able to.

    • Distinguish between investments in emerging and developed markets
    • Understand the country classifications established by The World Bank
    • Define American Depositary Receipts (ADRs) and describe their use and function
    • Discuss the currency and political risks faced by investors

    This course includes.

    • One Lesson
    • One Online Final Exam
    1 $25

    Course Title:
    Wills and Trusts

    CATEGORY:
    Life.

    Course Description

    This course is a concise and practical guide to what every insurance professional should know about the law of Wills and Trusts – as well as a range of other matters – while advising others. Before and during the design of a client’s estate plan, the professional can provide value as part of the advisor team. In a great many scenarios, life insurance products can play a critical role in assuring the financial security the client is looking for. It is the professional’s job and duty to how explain how and why. Getting to a trusted position where that is possible, however, is the challenge. This course is based on real questions, concerns and issues encountered over many years, among people at all economic levels, from modest to quite substantial. There is no better way to build trust, confidence and respect than becoming a source of knowledge on the topics and issues presented here. There is an unfortunate, widespread misconception that wills, trusts and estate planning are subjects of interest only to the wealthy. In fact, an estate plan provides the legal mechanism for disposing of property upon death in a way that recognizes wishes and the needs of one’s survivors, while minimizing taxes. Too often, however, estate planning is equated with just estate tax planning. Professionals should be sensitive to personal, non – financial issues that are usually of a higher priority. For many, estate planning involves, even more importantly, planning for the handling of affairs in case of disability, and the deeply personal medical choices to be made as life nears its end. Estate planning is not just for rich people. Wills and Trusts are just tools in a larger process. You must be careful not to give legal advice, of course. But you can provide a great service simply by explaining, in general terms, how “the moving parts” work together.

    Learning Objectives

    • Learn the various methods of disposition of property, with or without a will.
    • Learn what the consequences are when one dies intestate.
    • Be familiarized with the format of a valid will.
    • Know the intricacies of the probate process.
    • Learn the duties associated with the role of an Executor.
    • Be familiarized with the concept of a trust and its variations.
    • Know the advantages and disadvantages of a simple, living trust.
    • Learn about the ways of disposing property outside of probate.
    • Knowledgeable about the various tax issues.
    • Be conversant with ways to use life insurance in estate planning.

    Topics Covered

    • Introduction
    • LESSON 1: The Disposition Of Property, With Or Without A Will
    • LESSON 2: The Probate Process
    • LESSON 3: Trust Basics
    • LESSON 4: The Simple Living Trust
    • LESSON 5: Comparing Simple Living Trusts And Wills
    • LESSON 6: Disposition Of Property Outside Probate
    • LESSON 7: Tax Issues
    • LESSON 8: Other Elements Of The Estate Plan
    • LESSON 9: Using Life Insurance In Estate Planning
    • LESSON 10: Specialized Trusts And Estate Planning Tools

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 3 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    MICHAEL T. PALERMO, JD, CFP

    MICHAEL T. PALERMO, JD, CFP, is an attorney in Lexington, Kentucky. He is an expert in estate and financial planning, and maintains the highly regarded website, “Crash Course in Wills & Trusts” (www.mtpalermo.com). Mike has contributed often to online publications such as CBS MarketWatch.com and the Wall Street Journal Online, and is frequently quoted in online and print publications.

    3 $25

    Course Title:
    Understanding the Rules of NASD

    CATEGORY:
    Banking Training.

    Course Description

    This course provides a thorough introduction to NASD rules and regulations that govern broker/dealers and registered representatives.
    Amongst the policies that are examined in this course are Conduct Rules; the Code of Arbitration, Mediation, and the Code of Procedure; and NYSE rules.
    NASD also stipulates standards for Public Communication, OTC markets, how to process orders, and back office functions.
    “Understanding the Rules of NASD” addresses all of these issues in detail, and provides you with knowledge that you will use throughout your career.

    LEARNING OBJECTIVES:

  • Understand the function and importance of NASD as a regulatory body.
  • Identify and apply the NASD Conduct Rules.
  • Be familiar with the Code of Arbitration, Mediation, and the Code of Procedure.
  • Recognize key NYSE rules.
  • Understand the NASD Standards for Public Communications.
  • Identify and understand the function of the SIPC and SIC.
  • Be able to understand the operation procedures for OTC markets.
  • Know the procedures for processing orders.
  • Realize the importance of back office functions.
  • Identify settlement procedures and ex dates.

    TOPICS COVERED:

    • INTRODUCTION
    • LESSON 1: SRO RULES ON REGISTERED REPRESENTATIVES
    • LESSON 2: THE NASD AND CONDUCT RULES
    • LESSON 3: CONDUCT RULES (CONT’D)
    • LESSON 4: CONDUCT RULES (CONT’D)
    • LESSON 5: CODE OF ARBITRATION, MEDIATION, AND CODE OF PROCEDURE
    • LESSON 6: NYSE RULES
    • LESSON 7: STANDARDS FOR PUBLIC COMMUNICATIONS
    • LESSON 8: THE SIPC AND SIC
    • LESSON 9: THE OTC MARKETS
    • LESSON 10: PROCESSING ORDERS
    • LESSON 11: BACK OFFICE FUNCTIONS
    • LESSON 12: SETTLEMENT

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 6 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Quizzes – You will not be required to pass the quizzes to move on to the next lesson.
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.
    .

  • 6 $25

    Course Title:
    Understanding Securities Trading

    Course Description:
    With the stock market making daily news, it’s imperative for financial professionals to have a firm knowledge of the subject. This course provides an overview on trading, which includes various types of orders, the consolidated tape, and how to collect information on stocks and bonds. Students will also learn how to read trading information from the Wall Street Journal, an essential resource for broker – dealers and financial professionals. An educational must – have for beginners in the banking and financial industries.

    LEARNING OBJECTIVES:

  • Understand the nature of stock exchanges
  • List the functions of a specialist
  • Know the concepts of block trading and program trading
  • Describe the types of orders that exist such as market orders, limit orders, stop orders, stop limit orders and alternative orders
  • Comprehend order execution qualifiers and auction procedures
  • Distinguish between the types of consolidated tape
  • Understand information reported on stocks and corporate bonds
  • Know what a redemption notice is and how to spot tombstone advertisements

    TOPICS COVERED:

  • Introduction
  • LESSON 1: EXCHANGE MARKETS
  • LESSON 2: TYPES OF ORDERS
  • LESSON 3: ORDER EXECUTION
  • LESSON 4: CONSOLIDATED TAPE
  • LESSON 5: READING THE WALL STREET JOURNAL

    REGULATORY REQUIREMENT:

    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:

    This course has been approved for 3 hours.

    COURSE PRE – REQUISITE:
    N/A

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

  • 3 $25

    Course Title:
    Understanding Economic Components.

    Course Description:
    This course provides an overview of components that contribute to our nation’s economic workings. From understanding the economics of the business cycle, to the effects of inflation, investment analysis, and currency markets and exchange rates, students will gain a firm grasp on economic policy. Students will also learn about the money market and the sources of economic and business performance data. For additional information and economic topics, please see our Economics & Analysis course under General Banking.

    LEARNING OBJECTIVES:

  • Understand the principal theory of the business cycle
  • Comprehend the effects of inflation and the process of yield curve analysis
  • Grasp the effects of the business cycle on stock prices
  • Understand the nature of technical analysis and basic charting patterns
  • Know the definition of the money market, repurchase agreements, federal funds, commercial paper, certificates of deposit, Eurodollars and bankers’ acceptances
  • Recognize and decipher the stock market indicators
  • Know the sources of economic and business performance data


    TOPICS COVERED:
    .

    INTRODUCTION
    LESSON 1: The Business Cycle
    LESSON 2: Inflation, Yields, and Securities Prices
    LESSON 3: Investment Analysis
    LESSON 4: The Monetary System
    LESSON 5: Money Market Instruments
    LESSON 6: Stock Market Indicators
    LESSON 7: Sources of Economic and Business Performance Data

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page. .

    SEAT TIME:
    This course has been approved for 6 hours.
    COURSE PRE – REQUISITE:

    N/A
    TESTING:

    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.
    COURSE COMPLETION:

    Upon successful completion of this course you will be able to print your certificate online.
    ABOUT THE SUBJECT MATTER EXPERT:

    EMMERT C. DAUGARD, M.A. CLU ChFC HIA MHP PAHM RHU REBC LIC

    EC is an accomplished speaker/trainer who has developed and taught many public insurance continuing education courses. Since 1988, he has designed and taught courses to over 25,000 insurance professionals. He has held the insurance positions of agent/broker, manager, and corporate senior vice – president, and has been licensed for over 20 years in both property/casualty and life/health.

  • 6 $25

    Course Title:
    Understanding Different Types of Security Investments .

    Course Description:
    This course is the perfect sampler plate for anyone seeking a broad overview of security investments. Understanding Different Types of Security Investments identifies seven types of investment products and reviews their variations, how they work, who they work best for, and other considerations that are important to both the financial professionals who sell them, and the investor using them as investment tools.

    LEARNING OBJECTIVES:

  • Identify cash and cash equivalent products, and their use and purpose to investors.
  • Recognize the function of fixed income securities, and how each product acts as an investment.
  • Understand the characteristics of equity securities, and their valuation.
  • Distinguish the different methods of investment company management.
  • Understand the structure and operation of mutual funds.
  • Identify what derivative securities are and how they work.
  • Recognize the risks and payoffs of international investing.
  • Understand the purpose and function of Real Estate Investment Trusts (REITs), and their tax considerations.
  • Recognize the function of variable annuities in an investment portfolio, and the risk and reward of these investments.

    TOPICS COVERED:
    .

    INTRODUCTION
    LESSON 1: Cash & Cash Equivalents
    LESSON 2: Fixed Income Securities
    LESSON 3: Equity Securities
    LESSON 4: Investment Company Securities
    LESSON 5: Derivative Securities
    LESSON 6: International Investing
    LESSON 7: Real Estate Partnerships & Investment Trusts (REITS)

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page. .

    SEAT TIME:
    This course has been approved for 7 hours.
    COURSE PRE – REQUISITE:

    N/A
    TESTING:

    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.
    COURSE COMPLETION:

    Upon successful completion of this course you will be able to print your certificate online.
    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.

  • 7 $25

    Course Title:
    Management of Capital

    Course Description

    This course provides an overview of concepts related to the management of capital. The cost associated with capital is rarely reflected on the Income Statement. Accordingly, many financial managers mistakenly think there is no cost of capital. Therefore, one of the first steps in managing capital is to calculate the cost of capital. The course illustrates how cost of capital is calculated as the weighted average of each capital component – long – term debt, common stock, preferred stock, and retained earnings.

    Learning Objectives

    • The Economics of Capital
    • Basic Considerations in Managing Capital
    • Approaches to Managing Capital
    • Over All Cost Capital Calculation
    • Cost of Equity and Risk
    • Factors In Decision Making
    • Refinancing Risk
    • Inflation
    • Floatation Cost
    • Marginal Cost of Capital
    • EBIT / EPS Comparison
    • Assessing Risk
    • Targeted Debt Levels
    • Investment Bankers
    • Initial Public Offerings (IPO’s)
    • Private Placements

    Topics Covered

    • Introduction
    • LESSON 1: BASIC CONCEPTS AND THEORIES
    • LESSON 2 : CALCULATING THE COST OF CAPITAL
    • LESSON 3: THE FINANCING DECISION
    • LESSON 4: THE FINANCIAL MARKETPLACE

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    Matt H. Evans, CPA, CMA, CFM

    Matt has 15 years in financial management, including performance measurement systems, due diligence, strategic planning, and value – based management. He has a diverse background in several sectors – private companies, public companies, government, nonprofits, and educational including a solid understanding of overall technology, including Virtual Private Networks, 3G Wireless technology, Portals, and Web Services.

    He holds a B.S. in Accounting from Louisiana State University.

    2 $25

    Course Title:
    Sarbanes – Oxley Act

    Course Description

    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.

    TOPICS COVERED:

  • Introduction
  • Lesson 1: The Sarbanes – Oxley Act.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 1 hour.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

  • 1 $25

    Course Title:
    REITS.

    Course Description:
    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. .

    SEAT TIME:
    This course has been approved for 1 hour.
    COURSE PRE – REQUISITE:

    N/A
    TESTING:

    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.
    COURSE COMPLETION:

    Upon successful completion of this course you will be able to print your certificate online.
    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.
    .

  • 1 $25

    Course Title:
    Qualified Retirement Plans and IRAs

    Course Description:

    This course will provide an understanding of qualified retirement plans and IRAs (Individual Retirement Accounts), including options; set up; who may contribute, how much, and how often; and distribution. A great introduction to our retirement course offerings, including 401(k), Keogh Plans, and Corporate Pension Plans.

    LEARNING OBJECTIVES:

  • Understand Qualified Retirement Plans and Individual Retirement Accounts
  • Become acquainted with the contribution rules, tax treatment, and distribution rules under an Individual Retirement Account (IRA).
  • Grasp Roth IRAs and Coverdell Education Savings Accounts (CESAs)
  • Comprehend Simplified Employee Pension (SEP) Plans and Matching Plans for Employees (SIMPLE)
  • Become familiar with the eligibility requirements, contribution rules, tax treatment, and distribution rules under Roth IRAs, CESAs, SEPs and SIMPLEs.
    .

    TOPICS COVERED:

  • INTRODUCTION
  • LESSON 1: QUALIFIED RETIREMENT PLANS & IRAs
  • LESSON 2: OTHER RETIREMENT INVESTMENT OPTIONS

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 2 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    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.

  • 2 $25

    Course Title:
    Prospecting, Selling and Closing

    Course Description

    Prospecting, Selling and Closing is an on – line, interactive learning experience that builds confidence in the areas of Prospecting, Telephoning and Closing. It will provide sales reps the confidence and competence “to get off to a fast start” and enhance selling skills critical to success. The course includes strong motivational pieces plus selling strategies, techniques, tools and processes that can be easily applied.

    Learning Objectives

    • Discover untapped resources that an provide you with abundant prospects and networking opportunities
    • Develop a strategy to increase your ability to set appointments, under favorable conditions, over the telephone.
    • Understand the essentials of closing to increase your effectiveness in selling.

    Topics Covered

    • Introduction
    • LESSON 1: Prospecting
    • The Common Denominator of Success
    • Paying Attention
    • Personal Observation
    • Dig Before You Dial
    • Endorsement
    • Feed the Names
    • Centers of Influence
    • Multi – discipline Organizations
    • Developing Nests
    • Maintain Action File
    • LESSON 2: Telephoning
    • Acres of Diamonds
    • 4 Key Strategies
    • First 30 Seconds
    • First 16 Words
    • Power Statements
    • Closing Questions
    • Handling Objections
    • Pre – Approach Letter
    • Keeping Sharp
    • LESSON 3: Closing
    • Frank Bettger
    • 3 Essentials of Closing
    • Hidden Persuaders
    • The Most Important Factor
    • 5 Step Closing Strategy
    • Presentation Principles
    • Handling Objections
    • Objection Strategy

    REGULATORY REQUIREMENT:
    N/A.

    SEAT TIME:
    This course has been approved for 3 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    N/A.

    ABOUT THE SUBJECT MATTER EXPERT:

    Jack Kinder, Jr. and Garry D. Kinder

    Jack and Garry Kinder are in private practice as sales and sales management consultants to several hundred corporations throughout the world in North and South America, Europe and the Pacific Rim.
    Marshall Wolper, a past president of the prestigious Million Dollar Round Table, has said: “The Kinder brothers are masters in the presentation and strategy of selling. They have taught their procedures and techniques directly to thousands and indirectly to tens of thousands.”
    Before entering the business world, Jack was an athletic coach in Chicago. He was a salesman in Illinois with The Equitable. He became an agency head with The Equitable in Louisville, in 1962. A year later, Jack was selected as Equitable’s Young Manager of the Year. Later, Jack managed Equitable’s leading sales organization in Detroit. He became a Regional Vice President in Chicago and, also, served as a Vice President in Equitable’s Home Office in New York City.
    Jack is the founder of the IMPACT Group, a well – known non – denominational Bible Study in Dallas. Jack serves on several boards and is listed in Who’s Who in American Business. Jack is a Knight of the MDRT Foundation. He has been a Qualifying Member of the Million Dollar Round Table.
    Garry’s experience in life insurance began at the age of 20. He began selling for The Equitable when he was a junior in college. He graduated from Illinois Wesleyan University. Garry became the youngest agent in Illinois to achieve membership in the Million Dollar Round Table. After spending five years as an agent, he became a Field Manager in Bloomington, Illinois; Akron, Ohio; and Detroit, Michigan. He was eventually named Regional Vice President for The Equitable in Dallas. Today he still maintains an agent’s license with the Equitable. He and his brother qualified for the 2001 Million Dollar Round Table.
    Garry is active in civic affairs. He is a Trustee at Illinois Wesleyan University. He has been President for the FCA and the Kidney Foundation of Texas. He served as Chairman of the Board of the Bill Glass Evangelistic Association for twenty years. He is an active member of Preston Trail Country Club. He has taught a Bible Study at a country club every Sunday for the last twenty – two years.
    Their company has developed many CD ROMS, audio and video cassettes on attitude building, sales strategy and personal effectiveness. KBI’s MDRT Accountability Study Groups and Master Agency Builder Personal Coaching Workshops are well – known industry programs.
    The Kinders have directed the popular Purdue and now Drake Management Institutes for 35 years. They have also produced numerous resource tools including cassette albums, videos, software packages and on – line courses that continue to assist Financial Professionals and Field Management. In addition, they have authored several best selling books including Winning Strategies in Selling written with Roger Staubach, The Making Of A Salesperson, Upward Bound, Secrets of Successful Insurance Sales, and 21st Century Positioning. Their most recent book, Building the Master Agency, is considered the success blueprint for managers.
    The Kinder brothers are profiled as two of the country’s foremost sales and sales management authorities. Collectively, they speak to as many as 400 audiences each year. They bring to these audiences a background of practical experience and proven procedures.
    .

    3 $25

    Course Title:
    Property Insurance

    Course Description

    This course is designed to encompass key issues in property insurance. The main focus is divided into four parts: property insurance, commercial property insurance, homeowner’s insurance, and dwelling.
    It looks at the various coverages available and defines what is covered under those plans.

    Learning Objectives

  • Learn about property insurance by focusing on property insurance, commercial property insurance, homeowners insurance, and dwelling
  • Familiarize the student with the different types of policies available and discuss the details of each
  • Learn about the different types of property and what property is covered
  • Discuss the different policies including aspects of exclusions, limitations, and conditions
  • Learn about perils, both insured and excluded
    .

    Topics Covered

    • Introduction
    • LESSON 1: Property Insurance
    • LESSON 2: Commercial Property Insurance
    • LESSON 3: Homeowners Insurance
    • LESSON 4: Dwelling

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 8 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Quizzes – You will not be required to pass the quizes to continue to the next lesson.
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:

    EMMERT C. DAUGARD, M.A. CLU ChFC HIA MHP PAHM RHU REBC LIC

    EC is an accomplished speaker/trainer who has developed and taught many public insurance continuing education courses. Since 1988, he has designed and taught courses to over 25,000 insurance professionals. He has held the insurance positions of agent/broker, manager, and corporate senior vice – president, and has been licensed for over 20 years in both property/casualty and life/health.

  • 8 $25

    The private placement of securities involves the offer and sale of a security not involving a public offering. Under the 1933 Act, a public offering requires the filing of a registration statement with the SEC and the final authorization to offer such security to the public by this regulator, these provision are not imposed upon the distribution of the private placement security. It is possible to offer and sell substantial offerings with no or little SEC involvement. This course examines the regulations, compliance considerations and supervision of Private Placements.

    1 $25

    The term “private placement” as used in this material refers to the offer and sale of any security by a brokerage firm not involving a public offering. Private offerings are not the subject of a registration statement filed with the SEC under the 1933 Act. Private placements are done in reliance upon Sections 3(b) or 4(2) of the 1933 Act as construed or under Regulation D as promulgated by the SEC, or both. Regulation D, promulgated in 1982, sets forth certain guidelines for compliance with the Private Offering Exemption. Any registered representative who is involved in the private placement process is expected to have a working familiarity with Regulation D.

    1 $25

    Launch your entire Firm Element training program online in 4 easy steps.

    • Key Benefits
      • Cost-effective solution
      • Easy access to reports
      • Auto-populate written training plan
      • Self service, but fully supported
      • Over 140 courses
    • Full Support
      • Rely on us for customer support via phone, email or chat.

    Features & Benefits

    Unlimited Access

    Learn what you want at your own pace and on your own schedule.

    Comprehensive Catalog

    Over 6,000 online compliance training courses, assessments, and exams.

    Multimedia Content

    Interactive multimedia courses with instant grading and timely reporting.

    Expert Instructors

    Learn from top experts who are passionate about their field.

    Group Discounts

    Get great discounts and save with group enrollment.

    24x7 Support

    24-hour support for any online course via phone, email or live chat.

    Trusted by professionals

    We are committed to ensuring a better online learning experience for our students. See why thousands of people chose Online Institute of America to satisfy their online training requirements.



    Overall, I think the coursework is great. Everything is explained in simple English and the voiceover is wonderful.

    — Lori A. Leonard, IBM


    Catherine was terrific and answered all of my questions with great professionalism. Great Job!

    — Elizabeth D, Student


    Needed assistance getting into my account and Kris set me up. Fast helpful service! Thank you.

    — Brian T, Kraft Canada

    Read more reviews from our students

    Have a question about our online training programs?