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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
FINRA e-Learning
Regulator
Firm Element
Type
Program Training
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