| 529 Education Savings Plans | Available | BD Rep, IAR Rep | AIF, CFP, IAR* | 1.0 | Print | Investment and Financial Planning,Investment Products and Recommendations |
| 529 Education Savings Plans: Supervision | Available | BD Supervisor, Compliance and Risk, IAR Supervisor | CFP | 1.0 | Print | Supervision |
| Account Recommendations | Available | BD Rep, BD Supervisor, Compliance and Risk | -- | -- | Print | Compliance and Conduct - BD,Compliance and Conduct - RIA,Investment Products and Recommendations,Supervision |
| Account Recommendations (RIA) | Available | IAR Rep, IAR Supervisor, Compliance and Risk | -- | -- | Print | Compliance and Conduct - BD,Compliance and Conduct - RIA,Investment Products and Recommendations,Supervision |
| Alternative Investments: Fees and Liquidity Considerations | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| Alternative Investments: Overview | Planned Development | -- | -- | -- | Print | |
| Alternative Investments: Sales Practices and Disclosures | Available - Tailoring Recommended | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Complex/Alternative Investments,Investment Products and Recommendations,Supervision |
| Alternative Mutual Funds | Available | BD Rep, BD Supervisor, IAR Rep, IAR Supervisor | IAR* | 0.5 | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| AML Regulatory Environment: Risk-Based Compliance | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | -- | -- | Print | AML and Fraud Prevention,Compliance and Conduct - BD,Compliance and Conduct - RIA,Supervision |
| Annuity Exchanges | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Annuities/Insurance,Investment Products and Recommendations |
| Anti-Bribery | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | -- | -- | Print | AML and Fraud Prevention,Compliance and Conduct - BD,Compliance and Conduct - RIA,Supervision |
| Anti-Money Laundering for Broker-Dealers | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise | CFP | 1.0 | Print | AML and Fraud Prevention,Supervision |
| Anti-Money Laundering for Supervisors | Available | BD Supervisor, Compliance and Risk, Enterprise | CFP | 1.0 | Print | AML and Fraud Prevention,Supervision |
| Anti-Money Laundering Overview | Available | Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | AML and Fraud Prevention,Compliance and Conduct - RIA,Supervision |
| Anti-Money Laundering Regulatory Environment | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | -- | -- | Print | AML and Fraud Prevention,Compliance and Conduct - BD,Compliance and Conduct - RIA,Supervision |
| Anti-Money Laundering: Refresher | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise | -- | -- | Print | AML and Fraud Prevention,Supervision |
| Anti-Money Laundering: Refresher (2025) | Available | Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | AML and Fraud Prevention,Compliance and Conduct - RIA,Supervision |
| Branch Office Inspections | Available | BD Rep, BD Supervisor, Compliance and Risk | -- | -- | Print | Supervision |
| Business Development Companies | Available | BD Rep, BD Supervisor, IAR Rep, IAR Supervisor | IAR* | 0.5 | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| Charitable Lead Trusts | Available | BD Rep, IAR Rep | -- | -- | Print | Investment and Financial Planning |
| Charitable Remainder Trusts | Available | BD Rep, IAR Rep | -- | -- | Print | Investment and Financial Planning |
| Communicating with Clients and Colleagues | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Compliance and Conduct - BD,Compliance and Conduct - RIA,Supervision |
| Communications with the Public | Available | BD Rep, BD Supervisor, Compliance and Risk | -- | -- | Print | Compliance and Conduct - BD,Supervision |
| Complex and Non-Traditional Exchange-Traded Products | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| Complex Products: Regulatory Obligations | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Complex/Alternative Investments,Compliance and Conduct - BD,Compliance and Conduct - RIA,Investment Products and Recommendations,Supervision |
| Conflicts of Interest | Available | BD Rep, BD Supervisor, Enterprise | -- | -- | Print | Compliance and Conduct - BD,Supervision |
| Conflicts of Interest (RIA) | Available | Enterprise, IAR Rep, IAR Supervisor | -- | -- | Print | Compliance and Conduct - RIA,Supervision |
| Conflicts of Interest and Ethical Conduct | Available | Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | Compliance and Conduct - RIA,Supervision |
| Conflicts of Interest and Ethical Conduct: Refresher (2025) | Available | Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | Compliance and Conduct - RIA,Supervision |
| Conflicts of Interest for Supervisors | Available | BD Supervisor, Compliance and Risk, Enterprise, IAR Supervisor | -- | -- | Print | Supervision |
| Corporate Insiders and Trading Restrictions | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor, Compliance and Risk | -- | -- | Print | AML and Fraud Prevention,Supervision |
| Correspondence and Complaints | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor, Compliance and Risk | -- | -- | Print | Compliance and Conduct - BD,Supervision |
| Customer Identification Programs | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | -- | -- | Print | AML and Fraud Prevention,Compliance and Conduct - BD,Compliance and Conduct - RIA,Supervision |
| Cybersecurity | Available | Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | AML and Fraud Prevention,Compliance and Conduct - RIA,Cyber/Privacy,Supervision |
| Cybersecurity for Broker-Dealers | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | CFP | 1.0 | Print | AML and Fraud Prevention,Compliance and Conduct - BD,Cyber/Privacy,Supervision |
| Cybersecurity: Refresher (2025) | Available | Compliance and Risk, IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | AML and Fraud Prevention,Compliance and Conduct - RIA,Cyber/Privacy,Supervision |
| Cybersecurity: Regulatory Environment and Best Practices | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | -- | -- | Print | AML and Fraud Prevention,Compliance and Conduct - BD,Compliance and Conduct - RIA,Cyber/Privacy,Supervision |
| Detecting and Preventing Financial Exploitation | Available | Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | AML and Fraud Prevention,Compliance and Conduct - RIA,Supervision |
| Detecting and Preventing the Financial Exploitation of Seniors | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise | -- | -- | Print | AML and Fraud Prevention,Compliance and Conduct - BD,Supervision |
| Detecting and Reporting Suspicious Activity | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | -- | -- | Print | AML and Fraud Prevention,Compliance and Conduct - BD,Compliance and Conduct - RIA,Cyber/Privacy,Supervision |
| Detection of Unauthorized Trading Activity | Available | BD Supervisor, Compliance and Risk | -- | -- | Print | Supervision |
| Determining Appropriate Account Registrations | Available | BD Supervisor | CFP | 1.0 | Print | Investment Recommendations,Investment and Financial Planning |
| Education Funding | Available | BD Rep, IAR Rep | -- | -- | Print | Investment and Financial Planning |
| Employee Stock Options | Available | BD Rep, IAR Rep | -- | -- | Print | Investment and Financial Planning,Investment Products and Recommendations |
| Equity Investing and Analysis | Available | BD Rep, IAR Rep | AIF, CFP, IAR* | 1.0 | Print | Investment and Financial Planning,Investment Products and Recommendations |
| Equity-Indexed Annuities | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Annuities/Insurance,Complex/Alternative Investments,Investment Products and Recommendations |
| Fee-Based Variable Annuities | Available | IAR Rep, IAR Supervisor | -- | -- | Print | Annuities/Insurance,Complex/Alternative Investments,Investment Products and Recommendations |
| Fixed Income: Sales Practices and Disclosures | Available | BD Rep, BD Supervisor, IAR Rep, IAR Supervisor | CFP | 1.0 | Print | Investment Products and Recommendations,Supervision |
| Fundamentals of Closed-End Funds | Available | BD Rep, IAR Rep | -- | -- | Print | Investment Products and Recommendations |
| Fundamentals of Initial Public Offerings | Available | BD Rep, IAR Rep | CFP | 1.0 | Print | Investment Products and Recommendations |
| Fundamentals of Unit Investment Trusts | Available | BD Rep, IAR Rep | -- | -- | Print | Investment Products and Recommendations |
| Futures-Linked Commodity Exchange Traded Products | Available | BD Rep, BD Supervisor, IAR Rep, IAR Supervisor | IAR* | 0.5 | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| Gifts and Entertainment | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise | -- | -- | Print | Compliance and Conduct - BD,Supervision |
| Hedge Fund Strategies | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| Heightened Supervision of Associated Persons | Available | BD Supervisor, Compliance and Risk | -- | -- | Print | Supervision |
| Identity Theft Prevention | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | IAR* | 0.5 | Print | Compliance and Conduct - BD,Compliance and Conduct - RIA,Cyber/Privacy,Supervision |
| Insider Trading | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | -- | -- | Print | AML and Fraud Prevention,Compliance and Conduct - BD,Compliance and Conduct - RIA,Supervision |
| Insider Trading and Information Walls | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor, Compliance and Risk | -- | -- | Print | AML and Fraud Prevention,Compliance and Conduct - BD,Compliance and Conduct - RIA,Supervision |
| Introduction to Annuities | Available | BD Rep, IAR Rep | CFP | 1.0 | Print | Annuities/Insurance |
| Introduction to Asset Allocation | Available | BD Rep, IAR Rep | CFP | 1.0 | Print | Investment and Financial Planning |
| Introduction to Mutual Funds | Available | BD Rep, IAR Rep | -- | -- | Print | Investment Products and Recommendations |
| Investing in Higher-Yield Products: Risks and Considerations | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | AIF, CFP, IAR* | 1.5 | Print | Complex Products/Alternative Investments,Investment Recommendations,Product and Planning,Supervision,Complex/Alternative Investments,Investment Products and Recommendations |
| Investment Adviser Marketing | Available | IAR Rep, IAR Supervisor, Compliance and Risk | AIF, CFP, IAR* | 1.5 | Print | Compliance and Conduct - RIA,Supervision |
| Investment Adviser Standard of Conduct | Available | IAR Rep, IAR Supervisor | -- | -- | Print | Compliance and Conduct - RIA,Supervision |
| Investment Adviser Standard of Conduct | Available | Compliance and Risk, IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 2.0 | Print | Compliance and Conduct - RIA,Investment Products and Recommendations,Supervision |
| Investment Adviser Standard of Conduct: Refresher (2025) | Available | Compliance and Risk, IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 1.5 | Print | Compliance and Conduct - RIA,Investment Products and Recommendations,Supervision |
| Investment Recommendations | Available | IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | Compliance and Conduct - RIA,Investment Products and Recommendations,Supervision |
| Investment Recommendations: Refresher (2025) | Available | Compliance and Risk, IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | Compliance and Conduct - RIA,Investment Products and Recommendations,Supervision |
| IRA Rollover Recommendations | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Compliance and Conduct - BD,Compliance and Conduct - RIA,Investment Products and Recommendations,Supervision |
| KYC and Customer Due Diligence | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise | -- | -- | Print | AML and Fraud Prevention,Compliance and Conduct - BD,Supervision |
| KYC and Customer Due Diligence (RIA) | Available | Enterprise, IAR Rep, IAR Supervisor | -- | -- | Print | AML and Fraud Prevention,Compliance and Conduct - RIA,Supervision |
| Leveraged and Inverse ETFs and ETNs | Available | BD Rep, BD Supervisor, IAR Rep, IAR Supervisor | -- | -- | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| Life Insurance Policies: Basics | Available | BD Rep, BD Supervisor, IAR Rep, IAR Supervisor | -- | -- | Print | Annuities/Insurance,Investment and Financial Planning |
| Life Insurance Strategies for High Net Worth Clients | Available | BD Rep, IAR Rep | AIF, CFP, IAR* | 1.5 | Print | Annuities/Insurance |
| Managed Futures | Planned Development | -- | -- | -- | Print | |
| Municipal Bonds: Sales Practice Considerations | Available | BD Rep, IAR Rep | -- | -- | Print | Investment Products and Recommendations |
| Mutual Fund Sales Charge Discounts and Waivers | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor, Compliance and Risk | -- | -- | Print | Investment Products and Recommendations,Supervision |
| Mutual Funds: Sales Practices and Disclosures | Available | BD Rep, BD Supervisor, IAR Rep, IAR Supervisor | CFP | 1.0 | Print | Compliance and Conduct - BD,Compliance and Conduct - RIA,Investment Products and Recommendations,Supervision |
| Mutual Funds: Share Class Considerations | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor, Compliance and Risk | -- | -- | Print | Investment Products and Recommendations,Supervision |
| Non-Traded REITs | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| Non-Traded REITs: Suitability Standards | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Complex/Alternative Investments,Investment Products and Recommendations,Supervision |
| Options: Hedging Strategies | Available | BD Rep, IAR Rep | AIF, CFP, IAR* | 1.5 | Print | Complex/Alternative Investments,Investment and Financial Planning,Investment Products and Recommendations |
| Outside Business Activities and Private Securities Transactions | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise | -- | -- | Print | Compliance and Conduct - BD,Supervision |
| Overview of Supervisory Responsibilities | Available - Tailoring Recommended | BD Supervisor | CFP | 1.5 | Print | Supervision |
| Personal Securities Transactions (RIA) | Planned Development | -- | -- | -- | Print | |
| Philanthropic Planning | Available | BD Rep, IAR Rep | AIF, CFP, IAR* | 1.5 | Print | Investment and Financial Planning |
| Portfolio Monitoring and Review | Available | BD Rep, IAR Rep | AIF, CFP, IAR* | 1.0 | Print | Investment and Financial Planning |
| Portfolio Risk Measurement and Management | Available | BD Rep, IAR Rep | AIF, CFP, IAR* | 1.0 | Print | Investment and Financial Planning |
| Privacy and Safeguarding of Client Information | Available | Enterprise, IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | Compliance and Conduct - RIA,Cyber/Privacy,Supervision |
| Privacy and Safeguarding of Customer Information | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise | CFP | 1.0 | Print | Compliance and Conduct - BD,Cyber/Privacy,Supervision |
| Privacy of Client Information | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor, Compliance and Risk | -- | -- | Print | Compliance and Conduct - BD,Compliance and Conduct - RIA,Cyber/Privacy,Supervision |
| Private Placements | Available | BD Rep, BD Supervisor | -- | -- | Print | Complex/Alternative Investments,Investment Products and Recommendations,Supervision |
| Private Placements (RIA) | Available | IAR Rep, IAR Supervisor | -- | -- | Print | Complex/Alternative Investments,Investment Products and Recommendations,Supervision |
| Promoting Compliant Sales Practices | Available | BD Supervisor, Compliance and Risk, Enterprise, IAR Supervisor | -- | -- | Print | Supervision |
| Promoting High Ethical Standards | Available | BD Supervisor, Compliance and Risk, Enterprise, IAR Supervisor | -- | -- | Print | Supervision |
| Reg BI: Best Interest Obligations | Available | BD Rep, BD Supervisor, Compliance and Risk | -- | -- | Print | Compliance and Conduct - BD,Investment Products and Recommendations,Supervision |
| Registered Index-Linked Annuities | Available | BD Rep, BD Supervisor, IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | Annuities/Insurance,Complex/Alternative Investments,Investment Products and Recommendations |
| Regulation Best Interest | Available | Compliance and Risk, IAR Rep, IAR Supervisor | AIF, CFP, IAR* | 1.5 | Print | Compliance and Conduct - RIA,Investment Products and Recommendations,Supervision |
| Regulation Best Interest Refresher (2025) | Available | BD Rep, BD Supervisor, Compliance and Risk | AIF, CFP, IAR* | 1.0 | Print | Compliance and Conduct - BD,Investment Products and Recommendations,Supervision |
| Regulatory Reporting Requirements | Available | BD Rep, BD Supervisor, Compliance and Risk | -- | -- | Print | Compliance and Conduct - BD,Supervision |
| Remote Office Supervision | Available | BD Supervisor, Compliance and Risk | -- | -- | Print | Supervision |
| Restricted and Control Stock | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | AML and Fraud Prevention,Compliance and Conduct - BD,Compliance and Conduct - RIA,Supervision |
| Retail Communications | Available | BD Rep, BD Supervisor, Compliance and Risk | -- | -- | Print | Compliance and Conduct - BD,Supervision |
| Retirement Plan Rollovers: Fiduciary Obligations | Available | Compliance and Risk, IAR Rep, IAR Supervisor | IAR* | 0.5 | Print | Compliance and Conduct - RIA,Investment and Financial Planning,Investment Products and Recommendations,Supervision |
| Retirement Planning Process | Available | BD Rep, IAR Rep | -- | -- | Print | Investment and Financial Planning |
| Reviewing and Approving New Account Documentation | Available | BD Supervisor | -- | -- | Print | Supervision |
| Reviewing Annuity Exchanges | Available | BD Supervisor, IAR Supervisor | -- | -- | Print | Annuities/Insurance,Supervision |
| Senior Customers: Recommendation and Sales Practice Considerations | Available | BD Rep, BD Supervisor, Compliance and Risk, IAR Rep, IAR Supervisor | -- | -- | Print | Compliance and Conduct - BD,Compliance and Conduct - RIA,Investment Products and Recommendations,Supervision |
| Structured Investments | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| Structured Investments: Downside Protection Notes | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| Structured Investments: Enhanced Return Notes | Planned Development | -- | -- | -- | Print | |
| Structured Investments: Enhanced Yield Notes | Planned Development | -- | -- | -- | Print | |
| Structured Investments: Overview | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| Supervising Fixed Income Sales | Available | BD Supervisor | CFP | 1.0 | Print | Supervision |
| Supervising Investment Activity in a Bank Broker-Dealer | Available | BD Supervisor | -- | -- | Print | Supervision |
| Supervising Mutual Fund Sales | Available | BD Supervisor | CFP | 1.0 | Print | Supervision |
| Supervising Variable Annuity Sales | Available | BD Supervisor | CFP | 1.0 | Print | Supervision |
| Supervision of Municipal Securities Activities | Available | BD Supervisor | -- | -- | Print | Supervision |
| Supervisory Oversight of Communications with the Public | Available | BD Supervisor | -- | -- | Print | Supervision |
| Tangible Assets | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| Techniques for Managing Concentrated Stock Positions | Available | BD Rep, IAR Rep | AIF, CFP, IAR* | 2.0 | Print | Investment and Financial Planning |
| Understanding Fixed and Fixed Indexed Annuities | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | AIF, CFP, IAR* | 1.5 | Print | Annuities/Insurance,Complex/Alternative Investments,Investment Products and Recommendations |
| Understanding Fixed Income Securities | Available | BD Rep, IAR Rep | CFP | 1.0 | Print | Investment Products and Recommendations |
| Understanding Hedge Funds | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| Understanding Investment Policy Statements | Available | -- | -- | -- | Print | |
| Understanding Private Equity | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | AIF, CFP, IAR* | 1.0 | Print | Complex/Alternative Investments,Investment Products and Recommendations |
| Understanding Variable Annuities | Available | BD Rep, IAR Rep | AIF, CFP, IAR* | 1.0 | Print | Annuities/Insurance,Complex/Alternative Investments,Investment Products and Recommendations |
| Use of Social Media | Available | BD Rep, BD Supervisor, Compliance and Risk, Enterprise, IAR Rep, IAR Supervisor | -- | -- | Print | Compliance and Conduct - BD,Compliance and Conduct - RIA,Supervision |
| Variable Annuities: Alternative Subaccounts | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Annuities/Insurance,Complex/Alternative Investments,Investment Products and Recommendations |
| Variable Annuities: Buyout Offers | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Annuities/Insurance |
| Variable Annuities: Sales Practices and Disclosures | Available | BD Rep, BD Supervisor, IAR Rep, IAR Supervisor | -- | -- | Print | Annuities/Insurance,Supervision |
| Variable Annuities: Senior Customers | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Annuities/Insurance,Investment Products and Recommendations,Supervision |
| Variable Annuities: Share Class Considerations | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor, Compliance and Risk | -- | -- | Print | Annuities/Insurance,Investment Products and Recommendations,Supervision |
| Variable Annuities: Subaccount Selection and Allocation | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Annuities/Insurance,Investment Products and Recommendations |
| Variable Annuity Fees and Expenses | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Annuities/Insurance,Complex/Alternative Investments,Investment Products and Recommendations |
| Variable Annuity Recommendations | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | AIF, CFP, IAR* | 1.5 | Print | Annuities/Insurance,Investment Products and Recommendations,Supervision |
| Variable Annuity Riders | Available | BD Rep, IAR Rep, BD Supervisor, IAR Supervisor | -- | -- | Print | Annuities/Insurance,Complex/Alternative Investments,Investment Products and Recommendations |
| Wealth Transfer | Available | BD Rep, IAR Rep | AIF, CFP, IAR* | 1.0 | Print | Investment and Financial Planning |
| No Books Found |