Bundle 14: SBSD New Employee
Leads to certification
Current Courses

Bundle 14: SBSD New Employee

This bundle includes course content required for newly employed individuals (1 year or less) working at an SEC-registered Security-based Swap Dealer.  Included in this bundle are some of our most popular "Best Practices" courses: AML, Cybersecurity and Intro to Asset Management.  The courses are designed to provide new employees with a foundation, yet comprehensive, understanding of requirements and compliance-related issues when working in the U.S. security-based swaps market.

Curriculum content

  • Inaugural SBSD requirements course
    • Lesson Security-Based Swap Dealer Requirements 21.0

  • This course provides a basic introduction to asset management by familiarizing the student with basic terms and concepts applied in the business. This course is recommended annually for broker-dealers and associated persons involved in retail sales, including registered representatives, sales assistants, customer service staff members, other staff members that communicate with customers, and individuals that are involved with developing new products and services at the firm.
  • 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.
  • 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.