Anthony Schools
Irvine,Oakland,San Francisco,San Diego, CA, United States
http://www.dearborn.com/anthonynew/home.asp

Variable Annuity Suitability Issues Online Course

Abusive sales practices in variable annuity transactions have resulted in heightened regulatory scrutiny, especially with regard to suitability. Through examples and case studies, this course examines suitability issues regarding surrender charges, Section 1035 exchanges and fees and other charges. The cases will also focus on the variable annuity¡¯s appropriateness for seniors, inclusion with......
 

This continuing education course is designed to help financial services representatives prepare clients for the inevitable turbulence in the market. Topics include selling financial products when times are good, advising clients when times are good and when investments falter, and surviving a down market. Turbulent Markets: Understanding And Withstanding Market Risk helps financial service ......
 

The Language of Investing provides a broad overview of some of the most common financial terms and defines instruments including equity, debt, and variable and pooled investment products and explains their related risks and rewards for the individual investor. ...
 

This continuing education course addresses the critical tax issues involved in distributions from mutual funds and gains realized from the sale of portfolio securities. Taxation of Mutual Funds addresses the critical tax issues involved in distributions from mutual funds and gains realized from the sale of portfolio securities. Topics include the four types of mutual fund distributions, how......
 

Principals that supervise the activities of Limited Securities Representatives face unique challenges related to mutual fund and variable product sales. This course focuses on areas of particular regulatory concern and suggests procedures to improve compliance. This course also has a 20 question exam....
 

Registered representatives must ensure that their recommendations to customers are suitable, and it is the supervisor¡¯s responsibility to ensure that this is done. Supervising registered representatives means assuring that they fulfill their primary ethical duty to the public and to each prospective customer. This duty requires them to provide accurate information regarding investments in a f......
 

The case focuses on the problems of an inexperienced branch manager and the procedural tactics involved with: handling a client whose account has been closed because of failure to maintain minimum margin; handling an inexperienced registered rep (and the client) when rapidly rising rates take a huge bite out of the client¡¯s fixed income portfolio; responding to an arbitration filing; handling a......
 

This course presents regulatory standards for making suitable recommendations. It provides guidance on obtaining customer information and on educating customers on the risk and reward attributes of investments....
 

Historically, institutional investors have not been extended the same suitability considerations as retail customers. NASD Rule IM-2310-3 addresses reasonable basis suitability and customer specific suitability as applied to institutional investors. This course reviews these rules and associated compliance considerations, citing several actual situations to emphasize key points. Evidence of p......
 

This online continuing education course is designed to familiarize the financial services professional with the soft dollar compliance issues and the procedures involved in brokerage services. To reinforce the subject matter, users are quizzed with embedded questions in each module and a 20-question final exam. Soft Dollars, Directed Brokerage and Personal Trading cover topics including: Soft......
 

The Sarbanes-Oxley Act was enacted in response to recent high profile corporate and accounting scandals. This overview course introduces critical provisions of this legislation that are required provisions of this legislation that are required knowledge for all financial industry practitioners....
 

Regulatory Updates for Supervisors provides an overview of a number of key regulatory issues and recommends supervisory procedures and best practices to ensure compliance within firms. Issues addressed include: mutual fund sales practice violations, public communications rules, customer identification procedures, and books and records rule amendments. This course provides pertinent materials ......
 

Recommending Mutual Funds defines mutual fund shares and describes their basic characteristics. This course also discusses the many types of fund objectives and explains how to use mutual funds to achieve investor goals, and explores mutual fund sales practices, required disclosures and advertising rules....
 

Highlights of key regulatory issues from 2001 and 2002 are addressed in this course, which appeals to persons in all phases of the industry. Issues covered include: Analyst Recommendations Procedures Required by the Patriot Act and other Anti Money Laundering Initiatives Mutual Fund Suitability Variable Product Suitability Proposed Recordkeeping Rules Best Execution Repo......
 

Private placements involve issues of unregistered securities that are not offered to the general public, and to which special practices apply because of the unique circumstances under which these securities are sold. Private Placements discusses the different types of offerings available under Regulation D, the definition of an accredited investor, the solicitation and subsidiary rules relatin......
 

In recent years, the topics of outside business activities and private securities transactions have received much attention in the securities industry. Additionally, numerous disciplinary actions have been brought against associated persons and their firms for failing to comply with rules governing outside business activities. Outside Business Activities and Selling Away discusses NASD Rule......
 

This continuing education course addresses suitability issues that arise when making mutual fund recommendations and sales. The course reviews critical customer information considerations when preparing a recommendation and discusses investment risks associated with mutual fund ownership. Customer objectives are listed and the types of funds that meet those objectives are explained. Mutual ......
 

Mutual funds have become immensely popular investment vehicles: more than half of all households in the US own mutual funds. Regulatory agencies have recently investigated the sales practices of various firms offering mutual funds and uncovered violations in several sales practices. This course enables students to identify the sales practices recently subject to regulatory review; describe the ......
 

Whether new or experienced in mutual fund investing, clients frequently have questions regarding their proper use, the allocation of money within them, and the costs and tax consequences of ownership. This course is presented in a concise question-and-answer format, which is the result of a survey of financial services professionals regarding the questions their customers ask most frequently a......
 

In recent years, investors have committed record amounts of money to mutual fund investments either through 401(k) retirement programs or in taxable accounts. Mutual Fund Asset Allocation discusses the difference between asset allocation and diversification, applies asset allocation principals to assist in developing an asset allocation plan, and provides appropriate questions to ask customers ......
 

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