FINRA: Retail Supervision: Sales to Senior Investors


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.

Learning 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

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