FINRA: Retail Branch Office Supervision: Compliance with Regulations

Overview

Focusing on retail branch offices, this course reviews key supervisory obligations. Participants review topics on the supervision of sales practices and the consequences of failing to adequately supervise.

Learning Objectives

Students who successfully complete this course will be able to:

  • recognize the importance of knowing the products and business you are supervising
  • describe your supervisory obligations to conduct thorough suitability reviews
  • analyze information before approving or signing off on transactions, reports, and communications
  • maintain a balance between your supervisory duties and other responsibilities
  • promptly identify, follow up on, and escalate “red flags” when supervising your associated persons
  • explain the consequences of failing to adequately supervise

Designed for

Registered principals

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