Self Study Courses

Firm Element One-Click CE Packages
CourseHoursPrice
FINRA Firm Element - All Course Package Includes all FINRA Element Training Courses. Must call to add CFP CE credit.67.5$45.00
WebCE Firm Element Training - All Course Package 41.5$30.00

Regulatory Element Flash Cards

Firm Element Training from WebCE
CourseHoursPrice
Advertising Regulations, Requirements, and Standards 0.5$12.50
AML Case Studies Audio Enabled0.5$12.50
AML: Customer Identification Programs Audio Enabled0.5$12.50
AML: Recognizing Red Flags Audio Enabled0.5$12.50
AML: The Basics Audio Enabled0.5$12.50
AML: Working with Natural Clients Audio Enabled0.5$12.50
AML: Working With Non-Natural or Institutional Customers Audio Enabled0.5$12.50
An Overview of Complex Products 0.5$12.50
Annuities: FINRA Rule 2330 0.5$12.50
Annuity Suitability: Customer Perspective 0.5$12.50
Annuity Suitability: Practice 0.5$12.50
Annuity Suitability: Practice and Disclosure 0.5$12.50
Anti-Money Laundering for the Insurance Industry 3.0$12.50
Basic 401(k) Plans 0.5$12.50
Basic Features of the Variable Annuity 0.5$12.50
Basic Investing Audio Enabled0.5$12.50
Basics of Retirement Planning 0.5$12.50
Business Continuity Plans Audio Enabled0.5$12.50
Business Gifts and Entertainment 0.5$12.50
Case Studies in Ethics 0.5$12.50
Client Data Protection 0.5$12.50
Communicating Effectively with Senior Clients 0.5$12.50
Communications with the Public 0.5$12.50
Communications With the Public: Institutional Focus Audio Enabled new!
0.5$12.50
Compliance Highlights 0.5$12.50
Compliance Highlights, Volume 2 Audio Enabled0.5$12.50
Components of Financial Planning 0.5$12.50
Conflicts of Interest 0.5$12.50
Conflicts of Interest: Institutional Focus Audio Enabled new!
0.5$12.50
Cybersecurity Awareness Audio Enabled0.5$12.50
Cybersecurity Best Practices 0.5$12.50
Design and Function of Variable Annuities 0.5$12.50
Ethical Duties When Working with Senior Clients 0.5$12.50
Fiduciary Rule: Putting Clients First Audio Enabled0.5$12.50
Financial Planning: College 0.5$12.50
Financial Planning: Retirement 0.5$12.50
Financial Planning: The Estate 0.5$12.50
How Tax Deferred Annuities Work 0.5$12.50
Indexed Products: Suitability and Marketing Practices 0.5$12.50
Insider Trading Audio Enabled0.5$12.50
Investment Adviser Act of 1940 and Investment Company Act of 1940 Audio Enabled new!
0.5$12.50
Investment Adviser: Suitability Rules Audio Enabled new!
0.5$12.50
Investment Advisers and Personal Securities Transactions Audio Enabled0.5$12.50
Investment Advisers: Discretionary and Non-Discretionary Account Handling Audio Enabled new!
0.5$12.50
Key Components of Ethical Decision Making 0.5$12.50
Know Your Customer and Suitability Requirements 0.5$12.50
Managing Customer Accounts Audio Enabled0.5$12.50
Money Laundering: Prevention and Detection 0.5$12.50
Obstacles to Ethical Decision Making 0.5$12.50
Outside Business Activities and Accounts Audio Enabled0.5$12.50
Outside Business Activities: Case Studies Audio Enabled0.5$12.50
Planning for Retirement Income 0.5$12.50
Prevention of Harassment and Discrimination Audio Enabled0.5$12.50
Private Placements 0.5$12.50
Regulatory Landscape for Institutional Broker-Dealers Audio Enabled new!
0.5$12.50
Required Recordkeeping 0.5$12.50
Retirement: Distribution Planning 0.5$12.50
Retirement: Multigenerational Distribution Strategies 0.5$12.50
Retirement: Rollovers and Conversions 0.5$12.50
Role of the Operations Professional Audio Enabled0.5$12.50
Sales Practices Audio Enabled0.5$12.50
Senior Investors: Use of Senior Designations 0.5$12.50
Series 99: Highlights of the Operations Professional's Role 0.5$12.50
Social Media in the Business Arena 0.5$12.50
Social Media Rules for Financial Services Professionals Audio Enabled0.5$12.50
Suitability of Variable Annuities 0.5$12.50
Taxation of Fixed Annuities 0.5$12.50
Taxation of Variable Annuities 0.5$12.50
The Ethical Decision Making Process 0.5$12.50
The Investment Adviser and Anti-Money Laundering Audio Enabled0.5$12.50
The Investment Adviser Fiduciary Standards and Duty 0.5$12.50
Traditional and Roth IRA Accounts 0.5$12.50
Understanding Social Security Retirement Benefits 0.5$12.50
Understanding the Compliance Obligations of a Supervisor 0.5$12.50
Using Life Insurance to Help Fund Retirement 0.5$12.50
Variable Annuity GLB Riders 0.5$12.50
Variable Annuity Income Options 0.5$12.50
Variable Annuity Investment Options 0.5$12.50
Working with Senior Investors Audio Enabled0.5$12.50

FINRA Firm Element Training
CourseHoursPrice
FINRA: AML—Bank Affiliated Broker-Dealers: Understanding Your Role—Vol. (EL-ELC233) 0.5$12.50
FINRA: AML—Broker-Dealers Conducting Business with Foreign Customers: Understanding Your Role—Vol. 1 0.5$12.50
FINRA: AML—Compliance: Suspicious Activity Surveillance—Part 1(EL-ELC195) 0.5$12.50
FINRA: AML—Compliance: Suspicious Activity Surveillance—Part 2 (EL-ELC196) 0.5$12.50
FINRA: AML—Independents: More Key Issues (EL-ELC221) 0.5$12.50
FINRA: AML—Independents: Understanding Your Compliance Obligations (EL-ELC206) 0.5$12.50
FINRA: AML—Institutional: Customer Identification Procedures (EL-ELC152) 0.5$12.50
FINRA: AML—Institutional: Escalating Concerns of Unusual Activity Responsibilities for Due Diligence 0.5$12.50
FINRA: AML—Institutional: Exploring New Risks (EL-ELC135) 0.5$12.50
FINRA: AML—Institutional: Identification and Reporting Issues (EL-ELC121) 0.5$12.50
FINRA: AML—Institutional: Identifying and Managing Higher Risk Clients (EL-ELC112) 0.5$12.50
FINRA: AML—Institutional: More Key Issues (EL-ELC222) 0.5$12.50
FINRA: AML—Institutional: Recognizing Red Flags (EL-ELC144) 0.5$12.50
FINRA: AML—Institutional: Understanding Your Compliance Obligations (EL-ELC207) 0.5$12.50
FINRA: AML—Institutional: Understanding Your Role—Vol. 1 (EL-ELC230) 0.5$12.50
FINRA: AML—Institutional: Your Role in Detecting and Deterring Money-Laundering Activity (EL-ELC192) 0.5$12.50
FINRA: AML—Operations Staff: Understanding Your Compliance Obligations (EL-ELC208) 0.5$12.50
FINRA: AML—Operations: Customer Identification Procedures (EL-ELC153) 0.5$12.50
FINRA: AML—Operations: Escalating Concerns of Unusual Activity & Responsibilities for Due Diligence 0.5$12.50
FINRA: AML—Operations: More Key Issues 0.5$12.50
FINRA: AML—Operations: Recognizing Red Flags (EL-ELC150) 0.5$12.50
FINRA: AML—Operations: Understanding Your Role Volume 1 (ELC245) 0.5$12.50
FINRA: AML—Operations: Your Role in Detecting and Deterring Money-Laundering Activity (EL-ELC193) 0.5$12.50
FINRA: AML—Retail: Customer Due Diligence (EL-ELC120) 1.0$12.50
FINRA: AML—Retail: Customer Identification Procedures (EL-ELC154) 1.0$12.50
FINRA: AML—Retail: More Key Issues 0.5$12.50
FINRA: AML—Retail: Understanding Your Compliance Obligations (EL-ELC205) 0.5$12.50
FINRA: AML—Retail: Understanding Your Role—Vol. 1 (EL-ELC229) 0.5$12.50
FINRA: AML—Retail: Understanding Your Role—Vol. 2 (EL-ELC239) 0.5$12.50
FINRA: AML—Retail: Understanding Your Role—Vol. 3 (ELC243) 0.5$12.50
FINRA: AML—Retail: Understanding Your Role—Vol. 4 (ELC250) 0.5$12.50
FINRA: AML—Retail: Variable Annuities and Variable Life Insurance (EL-ELC164) 1.0$12.50
FINRA: AML—Retail: Your Role in Detecting and Deterring Money-Laundering Activity (EL-ELC191) 1.0$12.50
FINRA: AML—Supervisors: Understanding Your Role (ELC240) 0.5$12.50
FINRA: AML—Supervisors: Understanding Your Role—Vol. 2 (ELC253) new!
0.5$12.50
FINRA: AML—Wholesalers: More Key Issues (EL-ELC223) 0.5$12.50
FINRA: AML—Wholesalers: Understanding Your Compliance Obligations (EL-ELC209) 0.5$12.50
FINRA: AML—Wholesalers: Your Role in Detecting and Deterring Money-Laundering Activity (EL-ELC194) 0.5$12.50
FINRA: Annual Compliance Reminders for Institutional Registered Representatives—Vol. 1 (EL-ELC204) 0.5$12.50
FINRA: Annual Compliance Reminders for Institutional Registered Representatives—Vol. 2 (EL-ELC219) 0.5$12.50
FINRA: Annual Compliance Reminders for Institutional Registered Representatives—Vol. 3 (EL-ELC228) 0.5$12.50
FINRA: Annual Compliance Reminders for Institutional Registered Representatives—Vol. 4 (ELC246) 0.5$12.50
FINRA: Annual Compliance Reminders for Registered Representatives—Vol. 1 (EL-ELC190) 1.0$12.50
FINRA: Annual Compliance Reminders for Registered Representatives—Vol. 2 (EL-ELC203) 1.0$12.50
FINRA: Annual Compliance Reminders for Registered Representatives—Vol. 3 (EL-ELC218) 1.0$12.50
FINRA: Annual Compliance Reminders for Registered Representatives—Vol. 4 (EL-ELC227) 1.0$12.50
FINRA: Annual Compliance Reminders for Registered Representatives—Vol. 5 (ELC237) 0.5$12.50
FINRA: Annual Compliance Reminders for Registered Representatives—Vol. 6 0.5$12.50
FINRA: Annual Compliance Reminders for Retail Registered Representatives, Vol 7 (ELC249) 0.5$12.50
FINRA: Annual Compliance Reminders for Supervisors—Vol. 1 (ELC252) 0.5$12.50
FINRA: Books and Records (EL-ELC131) 1.0$12.50
FINRA: Business Conduct—Institutional: Understanding Information Barriers (EL-ELC199) 0.5$12.50
FINRA: Communications with the Public: Compliance Issues for Independent Registered Representatives 0.5$12.50
FINRA: Communications with the Public: Compliance Issues for Wholesalers (EL-ELC211) 0.5$12.50
FINRA: Communications with the Public: What Retail Staff Need to Know (EL-ELC210) 0.5$12.50
FINRA: Conflicts of Interest (ELC242) 0.5$12.50
FINRA: Corporate and Government Bonds: Regulatory Considerations (EL-ELC226) 1.0$12.50
FINRA: Customer Information Protection for Registered Representatives (EL-ELC155) Audio Enabled1.0$12.50
FINRA: Customer Information Protection for Supervisors (EL-ELC156) 1.0$12.50
FINRA: Cybersecurity – Supervisors: Understanding Your Role (EL-ELC254) new!
0.5$12.50
FINRA: Cybersecurity: Understanding Your Role (EL-ELC238) 0.5$12.50
FINRA: Debt Mark-Ups (EL-ELC143) 0.5$12.50
FINRA: Electronic Communications: What Independent Registered Representatives Need to Know(ELC 216) 0.5$12.50
FINRA: Electronic Communications: What Retail Staff Need to Know (EL-ELC213) 0.5$12.50
FINRA: Electronic Communications: What Supervisors Need to Know (EL-ELC214) 1.0$12.50
FINRA: Electronic Communications: What Wholesalers Need to Know (EL-ELC215) 0.5$12.50
FINRA: Ethical Considerations for Institutional Sales Representatives (EL-ELC173) 0.5$12.50
FINRA: Ethical Considerations for Operations Professionals (EL-ELC172) 0.5$12.50
FINRA: Ethical Considerations for Registered Representatives (EL-ELC170) 0.5$12.50
FINRA: Ethical Considerations for Supervisors (EL-ELC171) 0.5$12.50
FINRA: Exchange Traded Products: Understanding Leveraged and Inverse ETPs (EL-ELC179) 0.5$12.50
FINRA: Fixed Income Suitability: Retail Sales Practices (EL-ELC125) Audio Enabled1.0$12.50
FINRA: Foreign Corrupt Practices Act: Avoiding Improper Payments (EL-ELC110) 0.5$12.50
FINRA: Gifts: Independent Registered Representative Responsibilities (EL-ELC187) 0.5$12.50
FINRA: Gifts: Institutional Sales Representative Responsibilities (EL-ELC188) 0.5$12.50
FINRA: Gifts: Registered Representative Responsibilities (EL-ELC165) 0.5$12.50
FINRA: Gifts: Understanding Compliance Responsibilities (EL-ELC167) 0.5$12.50
FINRA: Gifts: Understanding Supervisory Responsibilities (EL-ELC166) 0.5$12.50
FINRA: Gifts: Understanding Wholesaler Responsibilities (EL-ELC189) 0.5$12.50
FINRA: Insider Trading (EL-ELC157) 1.0$12.50
FINRA: Insider Trading: Understanding Your Responsibilities (ELC 248) 0.5$12.50
FINRA: Institutional Trading Regulations (EL-ELC225) 0.5$12.50
FINRA: Library Introduction 0.0$0.00
FINRA: Municipal Bonds: Regulatory Considerations (EL-ELC231) 1.0$12.50
FINRA: Outside Business Activities (EL-ELC132) 1.0$12.50
FINRA: Outside Business Activities for Independent Registered Representatives (EL-ELC185) 1.0$12.50
FINRA: Outside Business Activities for Wholesalers (EL-ELC184) 0.5$12.50
FINRA: Penny Stock Sales (EL-ELC160) 1.5$12.50
FINRA: Privacy Considerations: Conducting Business with Institutional Clients (EL-ELC198) 0.5$12.50
FINRA: Private Placements: Conducting Reasonable Investigations for Regulation D Offerings(EL-ELC18) 1.0$12.50
FINRA: Private Securities Transactions (ELC241) 0.5$12.50
FINRA: Real Estate Investment Trusts (REITs): Regulatory Considerations (EL-ELC234) 1.0$12.50
FINRA: Retail Branch Office Supervision: Compliance with Regulations (EL-ELC126) 0.5$12.50
FINRA: Retail Branch Office Supervision: Understanding Supervisory Responsibilities (EL-ELC127) 0.5$12.50
FINRA: Retail Supervision: Sales to Senior Investors (EL-ELC139) 0.5$12.50
FINRA: Senior Investor Issues: Diminished Decisional Capacity (EL-ELC158) 1.0$12.50
FINRA: Senior Investor Issues: Financial Exploitation (ELC247) 0.5$12.50
FINRA: Suitability and Know Your Customer Obligations: FINRA Rules 2111 and 2090 (EL-ELC197) 1.0$12.50
FINRA: Supervision Obligations for Firms with Institutional Clients (EL-ELC116) 0.5$12.50
FINRA: Supervision Obligations When Monitoring Sales and Trading (EL-ELC202) 0.5$12.50
FINRA: Supervision: FINRA Rules 3110, 3120, 3150 and 3170 1.0$12.50
FINRA: Understanding Alternative Mutual Funds (ELC251) 0.5$12.50
FINRA: Understanding Commodity Futures—Linked Securities (EL-ELC 181) 0.5$12.50
FINRA: Understanding Retail Structured Products (EL-ELC174) 0.5$12.50
FINRA: Understanding Social Media for Retail Registered Representatives (EL-ELC217) 0.5$12.50
FINRA: Use of Social Media for Business Purposes (EL-ELC163) 0.5$12.50
FINRA: Variable Annuities: Regulatory Implications (EL-ELC232) 0.5$12.50
FINRA: Variable Annuities: Suitability and Disclosure for New Purchases (EL-ELC113) 2.0$12.50

Firm Element Provider Number: Approved