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Compliance Practices
continuing education compliance


Compliance Digest - Institutional Version

Compliance Digest - Retail Version

Documentation of Client Accounts and Orders

Ethical Decision Making for Financial Professionals

Ethics and the Registered Representative

Insider Trading

Institutional Sales and Trading Practices - Debt

Institutional Sales and Trading Practices - Equities

Suitability and Risk Disclosure

Supervision - Retail Manager

Supervision for Institutional Managers

Supervisory Rules and Procedures

 

Pricing
Firm element module 50

Compliance Digest 40 - per issue

Regulatory Module 50

All available on-line or in print

VAT is not charged on books
VAT is charged on CD Rom, on-line, audio, video and Intensive Reviews