Bundle 12 - Registered Investment Advisors
Leads to certification
Current Courses

Bundle 12 - Registered Investment Advisors

This bundle includes "Best Practices" course content for relevant individuals working at Finra-registered Investment Advisors.  Included in this bundle are two of our most popular "Best Practices" courses: Cybersecurity and Identity Theft Prevention Program. 

Curriculum content

  • This course is required on an annual basis for individuals at NFA registered firms who are involved in account management and the flow of funds.  It is also required on an annual basis for similarly situated individuals at FINRA registered Investment Advisors.  The course takes approximately 50-60 minutes to complete.
    • Lesson AML for Financial Services 22.0

  • This course is designed to inform you of procedures that you or your financial institution can use to help identify, detect, and respond to activity that may indicate a threat of identity theft or fraudulent activity related to account access.  
  • This course is approximately 50-60 minutes in length and is appropriate for all industries. The training discusses the elements of an ISSP, third-party service providers, record-keeping, physical security, lost or stolen devices, working remotely, network security, data protection, social engineering, cyber hygiene, and more.
  • The SEC's Regulation Best Interest is a principles-based rule intended to clarify the obligations of Broker-Dealers and Investment Advisers when they provide recommendations or investment advice to retail clients. This course is intended to help provide a good understanding of the requirements of this rule. This course is recommended to be taken every 2-3 years by individuals, managers, and trade support personnel at firms active in the U.S. futures and swaps markets.