Overview
This course demonstrates the key requirements of FINRA’s supervision rules, and the specific obligations of firms and associated persons under those rules.
Learning Objectives
- understand the components for a framework of supervision specified by FINRA’s supervision rule
- recognize the basics of a mandatory supervisory control system
- understand the requirements regarding holding customer mail and tape recording of registered persons by certain firms
- know the specific obligations of a firm and an associated person under the rules
Designed For
Supervisors of Registered Representatives
Find this course for your license:
License or Certification
Regulator
Type