Supervision of Complex Product Sales


The purpose of this course is to give those who supervise registered persons a thorough explanation of, and orientation to, the rules and interpretative materials relating to sales and supervision of complex products. The course will explain complex products and the concerns that have prompted FINRA to focus on these sales and their supervision. It will also survey the applicable rules relating to supervision of the sales of these products. 

Learning Objectives

Upon conclusion of this course, you should

  • have a solid understanding of new product due diligence
  • have a solid understanding of the nature of complex products
  • understand what your obligations are before engaging in sales of new and complex products
  • understand the member firm compliance, supervisory, and recordkeeping obligations regarding new and complex products
  • understand a member firm’s ability to set a stricter standard for such products
  • understand how the rule arose 

Designed For

FINRA Registered Supervisors 

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License or Certification