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Seat Time: 0.25hrs - Desc:

This course will introduce the learner to Regulation T, which implements the Securities Exchange Act. The course will introduce the learner to the purpose of Regulation T as well to restrictions on extending credit. After completing this program, the learner will understand:

  • When Regulation T applies.
  • What margin securities are included.
  • Limitations on securing funds under Regulation T.

Seat Time: 0.5hrs - Desc:

This course will introduce the learner to Regulation S, which implements the Right to Financial Privacy Act (RFPA). The learner will be instructed on how the RFPA protects customers' financial privacy. After completing this program, the learner will understand:

  • How Regulation S implements RFPA.
  • How Regulation S implements the Annunzio-Wylie Anti-Money Laundering Act of 1992.
  • Actions established by the Annunzio-Wylie Anti-Money Laundering Act of 1992.

Seat Time: 0.25hrs - Desc:

This course will introduce the learner to Regulation R, which was jointly adopted by the Securities and Exchange Commission (SEC) and the Federal Reserve Board (FRB). The course will describe for the learner the purpose of Regulation R and will also discuss conditions that must be satisfied for employees to receive compensation in an unlimited amount from a broker-dealer. After completing this program, the learner will understand:

  • What qualifies a referral fee as "nominal."
  • Restrictions on employee bonuses.
  • Requirements for institutional referrals.
Seat Time: 1hrs - Desc:

This course will introduce the learner to Regulation P, which distinguishes between nonpublic and public information. The learner will also be provided with an overview of required privacy notices, including the required content of privacy notices. After completing this program, the learner will understand:

  • The purpose of Regulation P.
  • Essential information in privacy notices.
  • When financial institutions are permitted to release nonpublic personal information.
Category: Credit Unions

Seat Time: 1hrs - Desc:

This course will introduce the learner to the provisions of Regulation P, which include privacy notices and privacy disclosures. The course will familiarize the learner with Regulation P’s requirements for financial institutions, the specifics of privacy notice content, and marketing exceptions. After completing this program the learner will understand:

  • The criteria used to determine nonpublic personal information.
  • Opt-out rights and methods.
  • How to deliver opt-out notices.
Seat Time: 0.25hrs - Desc:

This course will introduce the learner to Regulation O by explaining its purpose: to limit the amount of credit that a lending institution may extend to its insiders. The course will also familiarize the learner with the concept of insiders and how and why restrictions exist in regard to their role at the institution. After completing this course, the learner will understand:

  • Who is considered an insider.
  • The various restrictions on loans to executive officers.
  • The penalties that institutions may face for violating Regulation O.

Seat Time: 0.25hrs - Desc:

This course will introduce the learner to Regulation N, which is internal to the Federal Reserve System and applies to foreign banking. The learner will be provided with an overview of the purpose of Regulation N. After completing this program, the learner will understand:

  • Restrictions established under Regulation N.
  • When Regulation N requirements apply.
  • Regulation N permissions.

Seat Time: 0.25hrs - Desc:

This course will introduce the learner to Regulation M, otherwise known as the Consumer Leasing Act. The learner will be instructed on the definition of leasing language, specifically "lease," "consumer lease," "lessee," "lessor," and more. After completing this program, the learner will understand:

  • Basic definitions of leasing language.
  • Requirements with disclosure forms and disclosure content.
  • When leases can be renegotiated and extended.