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FINRA: Written Supervisory Procedures (EL-ELC276)

Overview

This course covers the creation and maintenance of written supervisory procedures (WSPs) and common areas that they cover. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

  • Basic WSP requirements
  • Maintenance and documentation of WSPs
  • Supervision and conflicts of interest
  • Communication reviews
  • Customer account reviews
  • Transaction review and investigation


Designed For:

Registered Representatives 




Course Information

Adding additional credit may change exam requirements.

Prerequisites:
N/A
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