FINRA: Retail Branch Office Supervision: Compliance with Regulations

Overview

Focusing on retail branch offices, this course reviews key supervisory obligations. Participants review topics on the supervision of sales practices and the consequences of failing to adequately supervise.

Find this course for your license

License or Certification

Regulator

Objectives

recognize the importance of knowing the products and business you are supervising
describe your supervisory obligations to conduct thorough suitability reviews
analyze information before approving or signing off on transactions, reports, and communications
maintain a balance between your supervisory duties and other responsibilities
promptly identify, follow up on, and escalate “red flags” when supervising your associated persons
explain the consequences of failing to adequately supervise

Designed For:

Registered principals

Course Information

Adding additional credit may change exam requirements.

At WebCE, we are passionate about delivering exceptional professional development solutions. With world-class customer support and education to serve multiple professions, we're here to help professionals reach their career goals.