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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
FINRA e-Learning
Regulator
Firm Element
Type
Program Training
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