Overview
This course uses scenarios adapted from actual FINRA disciplinary actions to remind supervisors about their compliance and supervision obligations.
Learning Objectives
Upon completion of this course, students will be able to:
- identify common regulatory requirements
- meet your compliance obligations as you go about your daily supervision responsibilities
- understand the potential consequences of failing to supervise
Designed For
Supervisors of Registered Representatives
Find this course for your license:
License or Certification
Regulator
Type