FINRA: Annual Compliance Reminders for Supervisors—Vol. 1 (ELC252)

Overview

This course uses scenarios adapted from actual FINRA disciplinary actions to remind supervisors about their compliance and supervision obligations. Volume 1 covers requirements related to promptly amending Forms U4, reviewing customer accounts, suitability, outside business activities and communications with the public.

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 
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