FINRA: Annual Compliance Reminders for Supervisors—Vol. 1 (ELC252)

Course Description

This course uses scenarios adapted from actual FINRA disciplinary actions to remind supervisors about their compliance and supervision obligations. Volume 1 covers requirements related to promptly amending Forms U4, reviewing customer accounts, suitability, outside business activities and communications with the public.

Learning Objective(s)

By taking this course, you will learn to:

  • Identify common regulatory requirements.
  • Meet your compliance obligations as you go about your daily supervision responsibilities; and
  • Understand the potential consequences of failing to supervise.

Complexity

Intermediate