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.

Find this course for your license

License or Certification

Regulator

Objectives

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

Course Information

Adding additional credit may change exam requirements.

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