FINRA: Supervision Obligations for Firms with Institutional Clients


This course covers the regulatory and compliance obligations of supervisors at firms serving institutional clients. Scenarios highlight responsibilities of supervisors in various business areas, including trading, institutional sales, proprietary trading, and investment banking. Participants review the challenges in hiring and supervising staff, delegation, and failure to document, as well as the consequences of failing to perform supervisory duties.

Learning Objectives

Upon completion of this course, students will be able to:

  • understand the supervisory rules
  • logistics of implementing the rules of your firm
  • supervisory responsibilities related to your business area

Designed For

Registered principals

Find this course for your license:

License or Certification