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Series 10 – Module 1: Introduction to Supervision of General Securities

Series 10 – Module 10: Registration, Continuing Education, and Licensing Supervision

Series 10 – Module 11: Supervising New Account Openings and Disclosures

Series 10 – Module 12: Final Review and Practice Exam

Series 10 – Module 2: Supervision of Customer Accounts

Series 10 – Module 3: Sales Practices and Suitability Supervision

Series 10 – Module 4: Communications with the Public – Supervision Rules

Series 10 – Module 5: Supervision of Trading Activities and Market Manipulation

Series 10 – Module 6: Handling Complaints, Disputes, and Investigations

Series 10 – Module 7: Margin and Credit Regulations Supervision

Series 10 – Module 8: Anti-Money Laundering (AML) and Financial Crimes Supervision

Series 10 – Module 9: Recordkeeping and Reporting Requirements

Series 14 – Module 1: Introduction to Compliance and Supervision

Series 14 – Module 10: Handling Customer Complaints and Disciplinary Reporting

Series 14 – Module 11: Financial Responsibility, Net Capital Rules, and Recordkeeping

Series 14 – Module 12: Final Review and Practice Exam

Series 14 – Module 2: Broker-Dealer Structure and Regulatory Framework

Series 14 – Module 3: Registration, Continuing Education, and Licensing Requirements

Series 14 – Module 4: Supervision of Customer Accounts and New Account Procedures

Series 14 – Module 5: Communications with the Public – Advertising and Social Media Rules

Series 14 – Module 6: Trading Practices and Prohibited Activities

Series 14 – Module 7: Anti-Money Laundering (AML) and Customer Identification Programs (CIP)

Series 14 – Module 8: Insider Trading, Information Barriers, and Ethical Practices

Series 14 – Module 9: Supervision of Employee Activities and Outside Business Activities

Series 16 – Module 1: Introduction to Supervisory Analysis

Series 16 – Module 10: Recordkeeping Requirements and Research Documentation

Series 16 – Module 11: Ethical Responsibilities and Best Practices

Series 16 – Module 12: Final Review and Practice Exam

Series 16 – Module 2: Research Report Preparation and Approval Process

Series 16 – Module 3: Disclosure Requirements in Research Reports

Series 16 – Module 4: Conflict of Interest Rules and Restrictions

Series 16 – Module 5: Analyst Independence and Integrity Standards

Series 16 – Module 6: Review of Financial Models and Valuation Methods

Series 16 – Module 7: Legal and Regulatory Framework – SEC and FINRA Rules

Series 16 – Module 8: Supervision of Communications and Publications

Series 16 – Module 9: Handling Material Nonpublic Information (MNPI)

Series 22 – Module 1: Introduction to Direct Participation Programs (DPPs)

Series 22 – Module 10: Anti-Fraud Rules and Conflicts of Interest

Series 22 – Module 11: Recordkeeping and Reporting Requirements

Series 22 – Module 12: Final Review and Practice Exam

Series 22 – Module 2: Types of DPPs – Real Estate, Oil and Gas, Equipment Leasing

Series 22 – Module 3: Structure and Organization of DPPs

Series 22 – Module 4: Tax Considerations and Benefits of DPPs

Series 22 – Module 5: Suitability and Risks Associated with DPP Investments

Series 22 – Module 6: Regulatory Framework Governing DPPs (SEC, FINRA, IRS)

Series 22 – Module 7: Offering Documents – Prospectus, Subscription Agreements, and Disclosures

Series 22 – Module 8: Valuation, Performance, and Exit Strategies for DPPs

Series 22 – Module 9: Handling Customer Accounts and DPP Sales Supervision

Series 24 – Module 1: Introduction to General Securities Supervision

Series 24 – Module 10: Conflicts of Interest, Insider Trading, and Information Barriers

Series 24 – Module 11: Regulatory Framework – SEC, FINRA, MSRB, and SRO Rules

Series 24 – Module 12: Final Review and Practice Exam

Series 24 – Module 2: Registration of Broker-Dealers and Associated Persons

Series 24 – Module 3: Supervising Customer Accounts and Orders

Series 24 – Module 4: Communications with the Public – Advertising and Retail Communications

Series 24 – Module 5: Supervision of Trading and Market-Making Activities

Series 24 – Module 6: Underwriting and New Issues – Primary and Secondary Markets

Series 24 – Module 7: Handling Customer Complaints, Disputes, and Reporting Requirements

Series 24 – Module 8: Financial Responsibility Rules – Net Capital, Recordkeeping, and Reporting

Series 24 – Module 9: Anti-Money Laundering Programs and Ethics Requirements

Series 26 – Module 1: Introduction to Principal Supervision

Series 26 – Module 10: Handling Complaints, Reporting, and Escalations

Series 26 – Module 11: Understanding Compensation, Conflicts of Interest, and Sales Incentives

Series 26 – Module 12: Final Review and Practice Exam

Series 26 – Module 2: Overview of Investment Companies and Variable Contracts

Series 26 – Module 3: Registration and Licensing Requirements for Representatives

Series 26 – Module 4: Supervising Sales of Mutual Funds, Variable Annuities, and Variable Life

Series 26 – Module 5: Supervising Communications with the Public

Series 26 – Module 6: Handling Customer Accounts and Client Interactions

Series 26 – Module 7: Ethics, Fair Dealing, and Customer Protection Rules

Series 26 – Module 8: Regulatory Requirements – FINRA, SEC, and State Regulations

Series 26 – Module 9: Anti-Money Laundering (AML) and Privacy Rules (Regulation SP)

Series 27 – Module 1: Introduction to Financial and Operations Supervision

Series 27 – Module 10: Ethics, Fraud Prevention, and Financial Integrity

Series 27 – Module 11: Regulatory Framework – SEC, FINRA, MSRB, and Other Rules

Series 27 – Module 12: Final Review and Practice Exam

Series 27 – Module 2: Broker-Dealer Financial Responsibilities and Net Capital Rules

Series 27 – Module 3: Customer Protection Rule (SEC Rule 15c3-3)

Series 27 – Module 4: Books, Records, and Reporting Requirements

Series 27 – Module 5: Regulatory Reporting – FOCUS Reports, Annual Audits, and More

Series 27 – Module 6: Supervision of Financial Controls and Internal Audits

Series 27 – Module 7: Anti-Money Laundering (AML) Requirements for Financial Operations

Series 27 – Module 8: Handling Margin Accounts and Financing Activities

Series 27 – Module 9: Risk Management and Business Continuity Planning (BCP)

Series 28 – Module 1: Introduction to Financial and Operations Responsibilities

Series 28 – Module 10: Ethics, Fraud Prevention, and Professional Conduct

Series 28 – Module 11: SEC, FINRA, and MSRB Regulatory Framework

Series 28 – Module 12: Final Review and Practice Exam

Series 28 – Module 2: Net Capital Requirements for Introducing Broker-Dealers

Series 28 – Module 3: Customer Protection Rule Overview (SEC Rule 15c3-3)

Series 28 – Module 4: Books, Records, and Regulatory Reporting Basics

Series 28 – Module 5: FOCUS Reports and Financial Statement Requirements

Series 28 – Module 6: Anti-Money Laundering (AML) Obligations for Operations Principals

Series 28 – Module 7: Managing Margin Accounts and Related Financial Controls

Series 28 – Module 8: Business Continuity Planning (BCP) Essentials

Series 28 – Module 9: Handling Customer Funds and Securities Safeguards

Series 3 – Module 1: Introduction to Futures and Commodities Markets

Series 3 – Module 10: Regulatory Environment – CFTC, NFA, and Compliance

Series 3 – Module 11: Ethics, Anti-Fraud Rules, and Reporting Requirements

Series 3 – Module 12: Final Review and Practice Exam

Series 3 – Module 2: Understanding Futures Contracts

Series 3 – Module 3: Hedging with Futures Contracts

Series 3 – Module 4: Speculating with Futures Contracts

Series 3 – Module 5: Options on Futures – Basics

Series 3 – Module 6: Options Strategies in Futures Markets

Series 3 – Module 7: Margin Requirements and Calculations

Series 3 – Module 8: Market Orders, Limit Orders, and Stop Orders

Series 3 – Module 9: Fundamental and Technical Analysis for Futures

Series 6 – Step 1: Introduction to Investment Companies

Series 6 – Step 10: Overview of Regulatory Bodies and Laws

Series 6 – Step 11: Customer Transactions and Privacy Rules

Series 6 – Step 12: Final Review and Practice Exam

Series 6 – Step 2: Understanding Mutual Funds and UITs

Series 6 – Step 3: Variable Life Insurance and Annuities

Series 6 – Step 4: Securities Products and Market Basics

Series 6 – Step 5: Retirement Plans and Education Accounts

Series 6 – Step 6: Client Accounts and Ownership Types

Series 6 – Step 7: Ethical Sales Practices and Conduct Rules

Series 6 – Step 8: Public Communications and Advertising Rules

Series 6 – Step 9: Suitability, Recommendations, and Client Needs

Module 1: Equity Securities

Module 10: Investment Products

Module 11: Retirement Plans

Module 12: Variable Annuities

Module 13: Direct Participation Programs

Module 14: Economics and Analysis

Module 15: Ethics, Recommendations, and Taxation

Module 16: US Government and State Rules and Regulations

Module 17: Other SEC and SRO Rules and Regulations

Module 2: Debt Securities

Module 3: Municipal Securities

Module 4: Options

Module 5: Customer Accounts

Module 6: Margin Accounts

Module 7: Issuing Securities

Module 8: Trading Securities

Module 9: Brokerage Services

Series 9 – Module 1: Introduction to Options Supervision

Series 9 – Module 10: Ethics, Reporting Violations, and Best Practices

Series 9 – Module 11: Advanced Options Scenarios and Supervision

Series 9 – Module 12: Final Review and Practice Exam

Series 9 – Module 2: Customer Accounts and Options Account Approvals

Series 9 – Module 3: Options Trading Strategies Overview

Series 9 – Module 4: Supervision of Options Communications

Series 9 – Module 5: Margin Requirements for Options Accounts

Series 9 – Module 6: Handling Options Complaints and Disputes

Series 9 – Module 7: Supervision of Options Orders and Execution

Series 9 – Module 8: Option Position Limits and Exercise Limits

Series 9 – Module 9: Regulatory Framework – CBOE, FINRA, SEC Rules

SIE

SIE – Step 1: Introduction to the Securities Industry

SIE – Step 10: Prohibited Activities and Penalties

SIE – Step 11: Review of Key Laws – Securities Act of 1933, 1934, 1940, and Others

SIE – Step 12: Final Comprehensive Review and Practice Exam

SIE – Step 2: Understanding Types of Products and Investments

SIE – Step 3: Markets, Offerings, and Trading Basics

SIE – Step 4: Economic Factors and Financial Concepts

SIE – Step 5: Customer Accounts and Basic Client Interactions

SIE – Step 6: Overview of Regulatory Framework – SEC, FINRA, MSRB, and Others

SIE – Step 7: Business Conduct Rules and Ethical Responsibilities

SIE – Step 8: Anti-Money Laundering, Privacy, and Information Security

SIE – Step 9: Understanding Risks, Returns, and Investment Suitability

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Series 10 – Module 1: Introduction to Supervision of General Securities

Series 10 – Module 10: Registration, Continuing Education, and Licensing Supervision

Series 10 – Module 11: Supervising New Account Openings and Disclosures

Series 10 – Module 12: Final Review and Practice Exam

Series 10 – Module 2: Supervision of Customer Accounts

Series 10 – Module 3: Sales Practices and Suitability Supervision

Series 10 – Module 4: Communications with the Public – Supervision Rules

Series 10 – Module 5: Supervision of Trading Activities and Market Manipulation

Series 10 – Module 6: Handling Complaints, Disputes, and Investigations

Series 10 – Module 7: Margin and Credit Regulations Supervision

Series 10 – Module 8: Anti-Money Laundering (AML) and Financial Crimes Supervision

Series 10 – Module 9: Recordkeeping and Reporting Requirements

Series 14 – Module 1: Introduction to Compliance and Supervision

Series 14 – Module 10: Handling Customer Complaints and Disciplinary Reporting

Series 14 – Module 11: Financial Responsibility, Net Capital Rules, and Recordkeeping

Series 14 – Module 12: Final Review and Practice Exam

Series 14 – Module 2: Broker-Dealer Structure and Regulatory Framework

Series 14 – Module 3: Registration, Continuing Education, and Licensing Requirements

Series 14 – Module 4: Supervision of Customer Accounts and New Account Procedures

Series 14 – Module 5: Communications with the Public – Advertising and Social Media Rules

Series 14 – Module 6: Trading Practices and Prohibited Activities

Series 14 – Module 7: Anti-Money Laundering (AML) and Customer Identification Programs (CIP)

Series 14 – Module 8: Insider Trading, Information Barriers, and Ethical Practices

Series 14 – Module 9: Supervision of Employee Activities and Outside Business Activities

Series 16 – Module 1: Introduction to Supervisory Analysis

Series 16 – Module 10: Recordkeeping Requirements and Research Documentation

Series 16 – Module 11: Ethical Responsibilities and Best Practices

Series 16 – Module 12: Final Review and Practice Exam

Series 16 – Module 2: Research Report Preparation and Approval Process

Series 16 – Module 3: Disclosure Requirements in Research Reports

Series 16 – Module 4: Conflict of Interest Rules and Restrictions

Series 16 – Module 5: Analyst Independence and Integrity Standards

Series 16 – Module 6: Review of Financial Models and Valuation Methods

Series 16 – Module 7: Legal and Regulatory Framework – SEC and FINRA Rules

Series 16 – Module 8: Supervision of Communications and Publications

Series 16 – Module 9: Handling Material Nonpublic Information (MNPI)

Series 22 – Module 1: Introduction to Direct Participation Programs (DPPs)

Series 22 – Module 10: Anti-Fraud Rules and Conflicts of Interest

Series 22 – Module 11: Recordkeeping and Reporting Requirements

Series 22 – Module 12: Final Review and Practice Exam

Series 22 – Module 2: Types of DPPs – Real Estate, Oil and Gas, Equipment Leasing

Series 22 – Module 3: Structure and Organization of DPPs

Series 22 – Module 4: Tax Considerations and Benefits of DPPs

Series 22 – Module 5: Suitability and Risks Associated with DPP Investments

Series 22 – Module 6: Regulatory Framework Governing DPPs (SEC, FINRA, IRS)

Series 22 – Module 7: Offering Documents – Prospectus, Subscription Agreements, and Disclosures

Series 22 – Module 8: Valuation, Performance, and Exit Strategies for DPPs

Series 22 – Module 9: Handling Customer Accounts and DPP Sales Supervision

Series 24 – Module 1: Introduction to General Securities Supervision

Series 24 – Module 10: Conflicts of Interest, Insider Trading, and Information Barriers

Series 24 – Module 11: Regulatory Framework – SEC, FINRA, MSRB, and SRO Rules

Series 24 – Module 12: Final Review and Practice Exam

Series 24 – Module 2: Registration of Broker-Dealers and Associated Persons

Series 24 – Module 3: Supervising Customer Accounts and Orders

Series 24 – Module 4: Communications with the Public – Advertising and Retail Communications

Series 24 – Module 5: Supervision of Trading and Market-Making Activities

Series 24 – Module 6: Underwriting and New Issues – Primary and Secondary Markets

Series 24 – Module 7: Handling Customer Complaints, Disputes, and Reporting Requirements

Series 24 – Module 8: Financial Responsibility Rules – Net Capital, Recordkeeping, and Reporting

Series 24 – Module 9: Anti-Money Laundering Programs and Ethics Requirements

Series 26 – Module 1: Introduction to Principal Supervision

Series 26 – Module 10: Handling Complaints, Reporting, and Escalations

Series 26 – Module 11: Understanding Compensation, Conflicts of Interest, and Sales Incentives

Series 26 – Module 12: Final Review and Practice Exam

Series 26 – Module 2: Overview of Investment Companies and Variable Contracts

Series 26 – Module 3: Registration and Licensing Requirements for Representatives

Series 26 – Module 4: Supervising Sales of Mutual Funds, Variable Annuities, and Variable Life

Series 26 – Module 5: Supervising Communications with the Public

Series 26 – Module 6: Handling Customer Accounts and Client Interactions

Series 26 – Module 7: Ethics, Fair Dealing, and Customer Protection Rules

Series 26 – Module 8: Regulatory Requirements – FINRA, SEC, and State Regulations

Series 26 – Module 9: Anti-Money Laundering (AML) and Privacy Rules (Regulation SP)

Series 27 – Module 1: Introduction to Financial and Operations Supervision

Series 27 – Module 10: Ethics, Fraud Prevention, and Financial Integrity

Series 27 – Module 11: Regulatory Framework – SEC, FINRA, MSRB, and Other Rules

Series 27 – Module 12: Final Review and Practice Exam

Series 27 – Module 2: Broker-Dealer Financial Responsibilities and Net Capital Rules

Series 27 – Module 3: Customer Protection Rule (SEC Rule 15c3-3)

Series 27 – Module 4: Books, Records, and Reporting Requirements

Series 27 – Module 5: Regulatory Reporting – FOCUS Reports, Annual Audits, and More

Series 27 – Module 6: Supervision of Financial Controls and Internal Audits

Series 27 – Module 7: Anti-Money Laundering (AML) Requirements for Financial Operations

Series 27 – Module 8: Handling Margin Accounts and Financing Activities

Series 27 – Module 9: Risk Management and Business Continuity Planning (BCP)

Series 28 – Module 1: Introduction to Financial and Operations Responsibilities

Series 28 – Module 10: Ethics, Fraud Prevention, and Professional Conduct

Series 28 – Module 11: SEC, FINRA, and MSRB Regulatory Framework

Series 28 – Module 12: Final Review and Practice Exam

Series 28 – Module 2: Net Capital Requirements for Introducing Broker-Dealers

Series 28 – Module 3: Customer Protection Rule Overview (SEC Rule 15c3-3)

Series 28 – Module 4: Books, Records, and Regulatory Reporting Basics

Series 28 – Module 5: FOCUS Reports and Financial Statement Requirements

Series 28 – Module 6: Anti-Money Laundering (AML) Obligations for Operations Principals

Series 28 – Module 7: Managing Margin Accounts and Related Financial Controls

Series 28 – Module 8: Business Continuity Planning (BCP) Essentials

Series 28 – Module 9: Handling Customer Funds and Securities Safeguards

Series 3 – Module 1: Introduction to Futures and Commodities Markets

Series 3 – Module 10: Regulatory Environment – CFTC, NFA, and Compliance

Series 3 – Module 11: Ethics, Anti-Fraud Rules, and Reporting Requirements

Series 3 – Module 12: Final Review and Practice Exam

Series 3 – Module 2: Understanding Futures Contracts

Series 3 – Module 3: Hedging with Futures Contracts

Series 3 – Module 4: Speculating with Futures Contracts

Series 3 – Module 5: Options on Futures – Basics

Series 3 – Module 6: Options Strategies in Futures Markets

Series 3 – Module 7: Margin Requirements and Calculations

Series 3 – Module 8: Market Orders, Limit Orders, and Stop Orders

Series 3 – Module 9: Fundamental and Technical Analysis for Futures

Series 6 – Step 1: Introduction to Investment Companies

Series 6 – Step 10: Overview of Regulatory Bodies and Laws

Series 6 – Step 11: Customer Transactions and Privacy Rules

Series 6 – Step 12: Final Review and Practice Exam

Series 6 – Step 2: Understanding Mutual Funds and UITs

Series 6 – Step 3: Variable Life Insurance and Annuities

Series 6 – Step 4: Securities Products and Market Basics

Series 6 – Step 5: Retirement Plans and Education Accounts

Series 6 – Step 6: Client Accounts and Ownership Types

Series 6 – Step 7: Ethical Sales Practices and Conduct Rules

Series 6 – Step 8: Public Communications and Advertising Rules

Series 6 – Step 9: Suitability, Recommendations, and Client Needs

Module 1: Equity Securities

Module 10: Investment Products

Module 11: Retirement Plans

Module 12: Variable Annuities

Module 13: Direct Participation Programs

Module 14: Economics and Analysis

Module 15: Ethics, Recommendations, and Taxation

Module 16: US Government and State Rules and Regulations

Module 17: Other SEC and SRO Rules and Regulations

Module 2: Debt Securities

Module 3: Municipal Securities

Module 4: Options

Module 5: Customer Accounts

Module 6: Margin Accounts

Module 7: Issuing Securities

Module 8: Trading Securities

Module 9: Brokerage Services

Series 9 – Module 1: Introduction to Options Supervision

Series 9 – Module 10: Ethics, Reporting Violations, and Best Practices

Series 9 – Module 11: Advanced Options Scenarios and Supervision

Series 9 – Module 12: Final Review and Practice Exam

Series 9 – Module 2: Customer Accounts and Options Account Approvals

Series 9 – Module 3: Options Trading Strategies Overview

Series 9 – Module 4: Supervision of Options Communications

Series 9 – Module 5: Margin Requirements for Options Accounts

Series 9 – Module 6: Handling Options Complaints and Disputes

Series 9 – Module 7: Supervision of Options Orders and Execution

Series 9 – Module 8: Option Position Limits and Exercise Limits

Series 9 – Module 9: Regulatory Framework – CBOE, FINRA, SEC Rules

SIE

SIE – Step 1: Introduction to the Securities Industry

SIE – Step 10: Prohibited Activities and Penalties

SIE – Step 11: Review of Key Laws – Securities Act of 1933, 1934, 1940, and Others

SIE – Step 12: Final Comprehensive Review and Practice Exam

SIE – Step 2: Understanding Types of Products and Investments

SIE – Step 3: Markets, Offerings, and Trading Basics

SIE – Step 4: Economic Factors and Financial Concepts

SIE – Step 5: Customer Accounts and Basic Client Interactions

SIE – Step 6: Overview of Regulatory Framework – SEC, FINRA, MSRB, and Others

SIE – Step 7: Business Conduct Rules and Ethical Responsibilities

SIE – Step 8: Anti-Money Laundering, Privacy, and Information Security

SIE – Step 9: Understanding Risks, Returns, and Investment Suitability

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