Selling Isms
If it is not in Netsuite....
it didn't happen
What does RR stand for?
Registered Rep
RIA means what?
Registred Investment Advisor
What is the most commonly used training category/topic across all clients?
AML
Name the two hires in IT?
Thao and Bob
Ten before
Ten
What Part of the Form ADV can you find the CCO listed on IAPD?
Part 2b
What catalog offers users the ability to get their firm element taken care of at the same time as CFP?
FINRA elearning
What date is the compliance roundtable webinar?
Nov 12
Stay....
hard
FINRA stands for
Financial Industry Regulatory Authority
What type of training is required for IAs?
None, the CCO must complete an Annual Compliance Review.
What is FINRA e-learning?
FINRA's firm element courses
What is the name of the insurance course that Natalie just announced?
Strategic Retirement Planning
Complaining is just a waste of time, so is________
No ______
excuses
training that is required for BDs
Firm Element /ACM
BCP stands for?
Business Continuity Plan
What is the name of the place you would put directions for a user once they login? i.e. Please complete by December 15?
User Alert Message
Finish this recent training email from marketing...October is Halloween and ________ month
cybersecurity
__________ it again
run
What type of an annuity must you be registered as a member firm/rep with FINRA to sell?
Variable
If you are dually registered as an IA, what does that mean?
You are also registered as a rep.
What is the SEC rule for reporting that we fulfill?
17a-4
Who recently announced having a baby through the pumpkins?
Marie