FINRA: Supervisory Systems (EL-ELC277)
Overview
This course covers the basic framework of a supervisory system required under FINRA rules, including the requirements for office and personnel registrations, internal inspections and annual compliance meetings.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Basic components for a supervisory control system specified by FINRA’s Supervision Rule (Rule 3110)
- Written supervisory procedures (WSPs)
- Types of offices and the business that is permitted to be conducted at each office
- Supervision of offices and registered persons
- Annual compliance meeting requirements
- Internal inspections
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.
| Prerequisites: | N/A |
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