FINRA: Supervision Obligations When Monitoring Sales and Trading

Overview

This course uses case studies adapted from actual disciplinary actions to remind supervisors of their obligations to monitor sales and trading. It helps supervisors better understand the potential consequences of failing to carry out their supervisory responsibilities.

Learning Objectives

Students who successfully complete this course will be able to:

  • identify some of the required areas of supervision
  • understand how to meet these supervisory obligations as you go about your daily business
  • recognize the potential consequences of failing to carry out supervisory responsibilities

Designed for

Registered principals, Institutional

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