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  Name SKU Description Category Additional data
Swap Dealers

Seat Time: 0.25hrs - Desc:

This course provides information about “swap dealers” and “security-based swap dealers.” This course will use the definitions issued by the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC). Upon completion of this course, the learner will be able to:

  • Understand the terms and guidelines for swap dealers and security-based swap dealers.
  • Abide by designated exemptions and exclusions.
  • Understand under which category the firm falls based on institution activities.
Compliance & Regulatory
Sexual Harassment

Seat Time: 3.75hrs - Desc:

This course will define and introduce the learner to sexual harassment and how and why it needs to be avoided at the institution. The course will familiarize the learner with sexual harassment laws and regulations, in addition to outlining the types of sexual harassment and behaviors that can be considered harassing. After completing this course, the learner will understand:

  • The potentially devastating effects that sexual harassment can have on employees and the institution as a whole.
  • What are and are not appropriate workplace behaviors.
  • How to respond to and report sexual harassment at the institution.
Compliance & Regulatory
Servicemembers' Civil Relief Act (SCRA) Seat Time: 1hrs - Desc:

This course will provide an overview of the history of the Servicemembers’ Civil Relief Act (SCRA) and an individual’s eligibility. This course will also discuss lease and insurance products, as identified in the Act. After completing this program, the learner will understand how to:

  • Determine an individual’s eligibility for the benefits under the Act.
  • Identify which lease and insurance products are affected by the Act.
  • Analyze court actions which may be stayed, postponed, or suspended.
Compliance & Regulatory
Sarbanes-Oxley Act of 2002

Seat Time: 1hrs - Desc:

This course will provide the learner with an introduction to and overview of the Sarbanes-Oxley Act of 2002 (SOX). The course will detail the history and purpose of the Act and will also provide insight into the types of publically held companies that SOX covers. After completing this course, the learner will understand:

  • Requirements imposed by SOX that must be met by the organization.
  • The specific responsibilities of independent auditors in making reports.
  • How the additional sections of SOX affect the organization.
Compliance & Regulatory
Right to Financial Privacy Act Seat Time: 0.5hrs - Desc:

This course will introduce the learner to the Right to Financial Privacy Act (RFPA) and the provisions it establishes. The course will also discuss the relationship that the Act has in regard to the financial institution and the requirements that the institution must follow. After completing this program, the learner will understand:

  • The purpose of the RFPA.
  • When an institution can officially release a customer's records.
  • Exceptions to the types of information an institution can release without a specific request or customer consent.
Compliance & Regulatory
Regulation Z: Truth in Lending (TILA)

Seat Time: 3hrs - Desc:

This course will introduce the learner to Regulation Z, which implements the Truth in Lending Act (TILA). The learner will be provided with a detailed overview of the ways in which TILA affects credit extensions and requires disclosures to be sent to consumers. After completing this program, the learner will understand:

  • Distinction between open-end and closed-end credit requirements.
  • Definition of "home equity plans."
  • Relation of Credit CARD Act and Higher Education Opportunity Act to truth in lending.
Compliance & Regulatory
Regulation YY

Seat Time: 0.25hrs - Desc:

This course will describe Regulation YY, which implements the Enhanced Prudential Standards and early remediation requirements mandated by Section 165 of the Dodd-Frank Act. This course will further explore the final enhanced prudential rule, capital requirements, and stress testing requirements. Upon completion of this course, the learner will understand:

  • The repercussions for FBOs of failing to meet capital adequacy standards
  • The FBO stress testing requirements mandated by the FRB
  • The changes implemented by the Final Enhanced Prudential Rule
Compliance & Regulatory
Regulation X: Borrowers of Securities Credit

Seat Time: 0.25hrs - Desc:

This course will introduce the learner to Regulation X's relationship to Regulation T and Regulation U. The course will also discuss when Regulation X is applicable to purchasing securities credit and when a borrower is subject to Regulation X. After completing this program, the learner will understand:

  • Purpose of Regulation X.
  • Definition of a "U.S. Person."
  • When a U.S. Person may not participate in a credit transaction that is collateralized by margin securities.
Compliance & Regulatory