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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