FINRA: Retail Supervision: Sales to Senior Investors

Overview

This course reviews the supervisory obligations of retail broker-dealers. Participants review scenarios involving suitability analyses and supervisory challenges relating to sales seminars, designations, and suitability of products geared toward senior investors.

Learning Objectives

Students who successfully complete this course will be able to:

  • define the role of a supervisor in a retail brokerage office
  • discuss some of the specific tasks and responsibilities a supervisor is obligated to perform
  • recognize the importance of fulfilling supervisory obligations

Designed for

Registered principals

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