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.

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

• 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

Registered principals