Take a mergers and acquisition firm element continuing education course from American Investment Training
Part 1 - 1 hour approved CE credits
This course provides a concise overview of the merger and acquisition process, including the legal process, federal regulations. The course also explains the various advantages and motivations for a company to consider the option of merger and acquisition. The purpose of the course is to give the user a solid understanding of the different legal and regulatory considerations that play a very important part in the M&A decision making.
Part 2 - 2 hours training
This course helps provide further understanding of the Merger and Acquisition process, highlighting the due diligence required and the consequences of not conducting a deep and thorough due diligence before and during the merger and acquisition procedure. The students will also understand the different steps required for the valuation of the Target Company and the financial understanding required by the students of Mergers & Acquisitions.
Part 3 Online Finra Frim Element
This course continues with an overview of the merger and acquisition process, including the valuation process, post merger integration and anti-takeover defenses. The purpose of this course is to give the user a solid understanding of how mergers and acquisitions work. This course deals with advanced concepts in valuation.
Begin FINRA Courses - Free demo Online
Sunday, November 30, 2008
Monday, November 17, 2008
Saturday, November 1, 2008
Tuesday, August 12, 2008
Anti Money Laundering Regulation - AML FINRA Rules
Firm Element and the coverage of anti money laundering (AML) is an important part of regulatory and firm element FINRA CE.
Money laundering is the process of filtering the proceeds derived from illegitimate criminal activities through one or more legitimate financial transactions. The goal is to place funds from illegitimate activities into the legitimate financial system without attracting attention.
A straightforward example of money laundering involves the drug dealer who receives cash from the sale of controlled substances. The drug dealer deposits the cash in a legitimate bank account. The sales proceeds may be further laundered by investment in a legitimate business enterprise. On the surface, both the cash in the bank account and the cash derived from the business appear perfectly legal. A look behind the scenes reveals that both are tainted due to their source.
Money may be laundered through a variety of transactions. The simplest case involves the deposit of illegitimately obtained funds into a legitimate financial vehicle such as a bank account, cash value life insurance policy, or annuity.
With financial transaction money laundering the prohibited action is conducting or
attempting to conduct a financial transaction, knowing that the money or other property involved represents the proceeds of some form of unlawful activity.
FinCEN is an agency of the Treasury Department. It is charged with oversight and
implementation of the federal anti-money laundering laws. It passes along intelligence to state, federal, and international law enforcement agencies and financial industry regulators to help them in their efforts to combat money laundering.
Money laundering is the process of filtering the proceeds derived from illegitimate criminal activities through one or more legitimate financial transactions. The goal is to place funds from illegitimate activities into the legitimate financial system without attracting attention.
A straightforward example of money laundering involves the drug dealer who receives cash from the sale of controlled substances. The drug dealer deposits the cash in a legitimate bank account. The sales proceeds may be further laundered by investment in a legitimate business enterprise. On the surface, both the cash in the bank account and the cash derived from the business appear perfectly legal. A look behind the scenes reveals that both are tainted due to their source.
Money may be laundered through a variety of transactions. The simplest case involves the deposit of illegitimately obtained funds into a legitimate financial vehicle such as a bank account, cash value life insurance policy, or annuity.
With financial transaction money laundering the prohibited action is conducting or
attempting to conduct a financial transaction, knowing that the money or other property involved represents the proceeds of some form of unlawful activity.
FinCEN is an agency of the Treasury Department. It is charged with oversight and
implementation of the federal anti-money laundering laws. It passes along intelligence to state, federal, and international law enforcement agencies and financial industry regulators to help them in their efforts to combat money laundering.
Monday, August 11, 2008
Wednesday, July 2, 2008
IRA Continuing Education - IRA Account CE Course
Use the following links to online CE Course information for IRA Accounts to complete continuing education training requirement for Series 7, Series 6, Series 24, Insurance license or other.
Sample:
Funding Options for a Trust or Custodial Account
Some of the nonannuity products that are normally used to fund individual retirement accounts through a custodial account include
mutual funds,
certificates of deposit and other traditional savings vehicles,
stocks,
bonds, and
certain gold and silver coins.
As we can see, there are many funding vehicles available to the IRA owner. In fact, it is easier to identify those investments that are not approved as IRA funding vehicles than to specifically list those that are. The savings and investment products which are specifically prohibited as IRA funding vehicles are
life insurance, and
collectibles, such as antiques, artwork, etc.
Understand that the other tax benefits normally associated with certain growth-oriented investments such as stocks and coins are lost when those investments are used to fund an IRA. Specifically, the growth in value of stocks and coins is normally associated with a gain in its value, rather than with dividends or interest. That gain could enjoy capital gains tax rates if the investment were not a part of an IRA. If an individual places IRA funds in investments normally eligible for capital gains treatment, any gains lose their identity as capital gains and are subject to taxation at ordinary income tax rates when distributed from the IRA.
When a trust or custodial account is used rather than an annuity, custodial fees normally must be paid each year or deducted from the account value. If these fees are separately billed by the trust and paid by the IRA owner, they may be claimed as an itemized miscellaneous deduction on the individual’s tax return. Furthermore, they will not be considered an excess contribution or reduce the amount which may be contributed to the IRA. In other words, an IRA owner may make his or her maximum IRA contribution and pay a custodial fee that might be $50 and deduct the entire amount.
This course qualifies for CE course credit in all 50 states.
FINRA License CE Course
Sample:
Funding Options for a Trust or Custodial Account
Some of the nonannuity products that are normally used to fund individual retirement accounts through a custodial account include
mutual funds,
certificates of deposit and other traditional savings vehicles,
stocks,
bonds, and
certain gold and silver coins.
As we can see, there are many funding vehicles available to the IRA owner. In fact, it is easier to identify those investments that are not approved as IRA funding vehicles than to specifically list those that are. The savings and investment products which are specifically prohibited as IRA funding vehicles are
life insurance, and
collectibles, such as antiques, artwork, etc.
Understand that the other tax benefits normally associated with certain growth-oriented investments such as stocks and coins are lost when those investments are used to fund an IRA. Specifically, the growth in value of stocks and coins is normally associated with a gain in its value, rather than with dividends or interest. That gain could enjoy capital gains tax rates if the investment were not a part of an IRA. If an individual places IRA funds in investments normally eligible for capital gains treatment, any gains lose their identity as capital gains and are subject to taxation at ordinary income tax rates when distributed from the IRA.
When a trust or custodial account is used rather than an annuity, custodial fees normally must be paid each year or deducted from the account value. If these fees are separately billed by the trust and paid by the IRA owner, they may be claimed as an itemized miscellaneous deduction on the individual’s tax return. Furthermore, they will not be considered an excess contribution or reduce the amount which may be contributed to the IRA. In other words, an IRA owner may make his or her maximum IRA contribution and pay a custodial fee that might be $50 and deduct the entire amount.
This course qualifies for CE course credit in all 50 states.
FINRA License CE Course
Sunday, January 20, 2008
Estate Planning CE Credit - Continuing Education
Estate Planning Advanced
CATEGORY:
Life
LEVEL:
Advanced
COURSE DESCRIPTION:
This course focuses on are the proper methods of holding legal title to property during your life, and passing your estate on to your heirs in a manner and timing of your choosing, all with minimum taxes and intervention by the legal system. It begins with a consideration of the estate planning process and the documents of transfer. The course then addresses the unified transfer tax system and the calculation of an individual’s estate tax liability. Estate planning techniques such as trusts, marital and charitable deduction vehicles, and intra-family business and property transfers are then discussed. The course ends with a consideration of post-mortem tax planning.
LEARNING OBJECTIVES:
Outlines the need for and the elements of the estate planning process.
Establishes estate planning strategies.
Overview of the Federal Gift tax system.
Introduces gross estate and valuation techniques.
Explains the purpose and function of the Federal Estate Tax.
Explain the purpose and function of trusts.
Outlines marital deduction planning.
Outlines charitable deduction planning.
Addresses estate planning issues for business owners.
Outlines post-mortem estate planning.
TOPICS COVERED:
Introduction
LESSON 1: The Estate Planning Process And Documents Of Transfer
LESSON 2 : Unified Transfer Tax System And Generation Skipping Transfer Tax (GSTT)
LESSON 3: Gifts And Federal Gift Taxation
LESSON 4: The Gross Estate And Valuation Techniques
LESSON 5: Calculation Of Federal Estate Tax Liability
LESSON 6: Trusts
LESSON 7: Marital Deduction Planning
LESSON 8: Charitable Deduction Planning
LESSON 9: Intra-Family Business And Property Transfers
LESSON 10 Tax Planning for Estates of Varying Sizes
LESSON 11: Post-Mortem Estate Planning
LESSON 12: Conclusion
FINRA NASD Firm Element CE Online
CATEGORY:
Life
LEVEL:
Advanced
COURSE DESCRIPTION:
This course focuses on are the proper methods of holding legal title to property during your life, and passing your estate on to your heirs in a manner and timing of your choosing, all with minimum taxes and intervention by the legal system. It begins with a consideration of the estate planning process and the documents of transfer. The course then addresses the unified transfer tax system and the calculation of an individual’s estate tax liability. Estate planning techniques such as trusts, marital and charitable deduction vehicles, and intra-family business and property transfers are then discussed. The course ends with a consideration of post-mortem tax planning.
LEARNING OBJECTIVES:
Outlines the need for and the elements of the estate planning process.
Establishes estate planning strategies.
Overview of the Federal Gift tax system.
Introduces gross estate and valuation techniques.
Explains the purpose and function of the Federal Estate Tax.
Explain the purpose and function of trusts.
Outlines marital deduction planning.
Outlines charitable deduction planning.
Addresses estate planning issues for business owners.
Outlines post-mortem estate planning.
TOPICS COVERED:
Introduction
LESSON 1: The Estate Planning Process And Documents Of Transfer
LESSON 2 : Unified Transfer Tax System And Generation Skipping Transfer Tax (GSTT)
LESSON 3: Gifts And Federal Gift Taxation
LESSON 4: The Gross Estate And Valuation Techniques
LESSON 5: Calculation Of Federal Estate Tax Liability
LESSON 6: Trusts
LESSON 7: Marital Deduction Planning
LESSON 8: Charitable Deduction Planning
LESSON 9: Intra-Family Business And Property Transfers
LESSON 10 Tax Planning for Estates of Varying Sizes
LESSON 11: Post-Mortem Estate Planning
LESSON 12: Conclusion
FINRA NASD Firm Element CE Online
Annuities CE Training
COURSE NAME:
Annuities
COURSE DESCRIPTION:
As the Baby Boomer generation reaches retirement age, the issue of how to prepare and safeguard that retirement is becoming an increasingly important topic in the insurance and financial industries. Clients planning for their retirement future often turn to annuities as a source of income and funding. This course explores the function of annuities as investment instruments, the characteristics of fixed and variable annuities, and the benefits and options available with both varieties.
LEARNING OBJECTIVES:
• Define the uses and purpose of an annuity.
• Recognize the investment function of an annuity.
• Discern the difference between an annuity and a retirement plan.
• Understand the differences between fixed and variable annuities, and the characteristics that distinguish them.
• Be familiar with settlement/payout options.
• Identify the benefits associated with annuities.
TOPICS COVERED:
Introduction
LESSON 1: Annuities – Fundamentals
LESSON 2: Fixed Annuities
LESSON 3: Variable Annuities
Firm Element CE Credit
Variable Annuity Plans
Annuities
COURSE DESCRIPTION:
As the Baby Boomer generation reaches retirement age, the issue of how to prepare and safeguard that retirement is becoming an increasingly important topic in the insurance and financial industries. Clients planning for their retirement future often turn to annuities as a source of income and funding. This course explores the function of annuities as investment instruments, the characteristics of fixed and variable annuities, and the benefits and options available with both varieties.
LEARNING OBJECTIVES:
• Define the uses and purpose of an annuity.
• Recognize the investment function of an annuity.
• Discern the difference between an annuity and a retirement plan.
• Understand the differences between fixed and variable annuities, and the characteristics that distinguish them.
• Be familiar with settlement/payout options.
• Identify the benefits associated with annuities.
TOPICS COVERED:
Introduction
LESSON 1: Annuities – Fundamentals
LESSON 2: Fixed Annuities
LESSON 3: Variable Annuities
Firm Element CE Credit
Variable Annuity Plans
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