Understanding the Compliance Obligations of a Supervisor

Overview

This course will review the compliance and regulatory responsibilities of a supervisor.

Learning Objectives

Students who successfully complete this course will be able to:

  • describe FINRA's supervision rules
  • understand your obligations with regard to written supervisory procedures
  • understand your obligations with regard to supervision of associated persons
  • understand the rules on handling customer complaints
  • understand the inspection and training requirements of the rule
  • understand the requirements to test supervisory systems to ensure compliance with the rules

Designed for

Registered principals

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