FINRA: Compliance Reminders for Supervisors (EL-ELC266)


This course uses scenarios to remind supervisors of their obligations when overseeing registered representatives. It covers several areas including reviews of correspondence, transactions, outside business activities, private securities transactions and Form U4 disclosures.

Learning Objectives

This course presents scenarios adapted from actual FINRA disciplinary cases to illustrate how adequate supervision and WSPs may prevent or mitigate the risk of similar violations.

This course aims to help learners:

  • support firm compliance efforts through a supervisory prog ram tailored for the firm and its business;
  • identify red flags of violative behavior and follow up appropriately;
  • conduct or delegate business communications reviews and monitor for their timely completion;
  • differentiate between outside business activities (OBAs) and private securities transactions and meet the reporting requirements for each; and
  • facilitate timely Form U4 disclosures by RRs.

Designed For

Registered Representatives and Supervisors 

Find this course for your license:

License or Certification