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Understanding Digital Assets And Cryptocurrency

C25941
WebCE, Inc
Credits
2.0
Content Area
Products and Practice
Topic(s)
Continuing Education
Digital Assets
Securities Products
Credits
2.0
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Intermediate
Content Area
Products and Practice
Course Date
On Demand

Understanding Ponzi Schemes

C26868
WebCE, Inc
Credits
1.0
Content Area
Ethics & Professional Responsibility
Topic(s)
Ethics
Financial Crime
Professional Conduct
Credits
1.0
Format
eLearning module
Other Professional Designations
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
On Demand
C22380
Securities Training Corporation
Credits
1.0
Content Area
Products and Practice
Topic(s)
Disclosures
Forms (ADV/CRS/U4)
Regulations
Credits
1.0
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Overview/Beginner
Content Area
Products and Practice
Course Date
On Demand
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Understanding the Evolving QOZ Market

C27834
Hillson Consulting LLC
Credits
1.0
Content Area
Products and Practice
Topic(s)
Investment Planning
Credits
1.0
Format
Live webinar/online presentation
Other Professional Designations
CFP
Complexity
Intermediate
Content Area
Products and Practice
Course Date
Scheduled Date
C26785
RIA Compliance Consultants, Inc.
Credits
1.0
Content Area
Ethics & Professional Responsibility
Description

This course will review the unethical acts described in the NASAA's model rule for unethicalbusiness pratices of licensed investment adviser representatives, the SEC's requirements for asupervised person under its Code of Ethics rule and other common compliance requirements forinvestment adviser representatives. The course will explore several case studies.

Topic(s)
Ethics
Regulations
Credits
1.0
Format
Live webinar/online presentation
Video/recorded webinar
Other Professional Designations
None
Complexity
Overview/Beginner
Content Area
Ethics & Professional Responsibility
Course Date
Scheduled Date
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Updated 2024 SEC Exam PrioritiesMarketing Title: Examination Evolution: A Fresh Look at SEC Exam Trends and Insights

C27252
Stark and Stark
Credits
1.0
Content Area
Products and Practice
Description

The Presenters provide valuable insight on the SEC's recent exam priorities, from using sub-advisers to texting with clients.

Topic(s)
Audits
Fiduciary Duty
Regulations
Credits
1.0
Format
In-person seminar/event
Other Professional Designations
CFP
Complexity
Overview/Beginner
Content Area
Products and Practice
Course Date
Scheduled Date
C28254
NASAA
Credits
1.0
Content Area
Products and Practice
Description

 

Topic(s)
Seniors, elders, or vulnerable adults
Credits
1.0
Format
Video/recorded webinar
Other Professional Designations
Complexity
Overview/Beginner
Content Area
Products and Practice
Course Date
On Demand
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Using Annuities for Retirement Planning

C26631
WebCE, Inc
Credits
3.5
Content Area
Products and Practice
Description

 

Topic(s)
Annuities
Insurance
Retirement planning
Credits
3.5
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Intermediate
Content Area
Products and Practice
Course Date
On Demand
C27338
RegEd, Inc.
Credits
1.0
Content Area
Products and Practice
Description

 

Topic(s)
Retirement planning
Credits
1.0
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Advanced
Content Area
Products and Practice
Course Date
On Demand
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