2020-2021 Firm Element Continuing Education – Field
The 2020-2021 Firm Element continuing education (“CE”) courses are now available in FIRE Solutions (“FIRE”) for all Registered Representatives (“RRs”). This field notice explains this year’s course requirements, a description of the courses, and how to access them. The due date for completion is February 28, 2021.
COURSE ASSIGNMENT
All registered persons will complete the following courses:
Cybersecurity – Threats and Trends: This course is intended for personnel who have contact with sensitive customer information or have responsibilities related to the protection of both customer information and/or proprietary firm information. The course explores the tactics used to hack into a firm’s systems and ways that firms and employees can prevent these breaches. Best practices for employees who handle confidential and sensitive information are discussed, and examples are given for the specific information that must be protected.
FINRA: Annual Compliance Reminders for Registered Representatives, Vol 9: This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 9 covers cybersecurity, ethics, financial exploitation of seniors, outside business activities and private securities transactions, professional designations and suitability, and 529 savings plans.
Impact of Market Events on Variable Products: This course outlines the risk types associated with variable annuities and variable life products, and the effects of each risk type on each type of variable product. Applicable case studies provide real-world scenarios to illustrate the concepts covered.
AML – Compliance and Regulatory Issues 2020: This course reviews the current trends in AML compliance and how firms can avoid regulatory problems with an appropriately designed compliance program. Additionally, an interactive case scenario is featured to further solidify real-life issues that can challenge AML compliance.
NEW! SINGLE SIGN-ON WITH FIRE SOLUTIONS
Single sign-on (“SSO”) is now available with FIRE Solutions! This means you no longer need a separate login and password combination for FIRE but can access your Firm Element courses through the NLG agent portal. Use your NLG login credentials to access your agent portal. From the home page, find and click “NRS – FIRE Solutions” in the menu on the left of the screen.
This will bring you directly to your dashboard with FIRE. From there you can launch your Firm Element courses.
Additionally, you can still access your courses directly through FIRE’s website:
- Go to https://blaze.firesolutions.com
- At FIRE’s login screen, enter your username and password (provided in the email that you receive directly from FIRE).
- If you do not receive an email with your username and password information, contact FIRE’s Student Mentor Team:
FIRE’s support hours are from 9:00am to 8:30pm ET, Monday through Friday. If you contact them outside of those hours, you will receive a response during the next business day.
QUESTIONS
Please see the attached Frequently Asked Questions for additional guidance. If you still have questions, please feel free to contact ESI Licensing at (800) 344-7437 or ESI_Licensing@nationallife.com.
CLICK HERE TO REVIEW FIRM ELEMENT FAQs!
TC116684(0920)1