FINRA: Supervision: FINRA Rules 3110, 3120, 3150 and 3170

Course Description

This course demonstrates the key requirements of FINRA’s supervision rules, and the specific obligations of firms and associated persons under those rules.

Learning Objective(s)

By taking this course, you will be able to:

  • Understand the components for a framework of supervision specified by FINRA’s supervision rule.
  • Recognize the basics of a mandatory supervisory control system.
  • Understand the requirements regarding holding customer mail and tape recording of registered persons by certain firms.
  • Know the specific obligations of a firm and an associated person under the rules.

Complexity

Intermediate

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