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FINRA: Supervision: FINRA Rules 3110, 3120, 3150 and 3170
Overview
This course demonstrates the key requirements of FINRA’s supervision rules, and the specific obligations of firms and associated persons under those rules.
Find this course for your license
License or Certification
Regulator
Type
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
Course Information
Adding additional credit may change exam requirements.