Supervision: A Closer Look


Supervision is part of the focus of many rules surrounding the financial services industry. While you are aware of the need to create and enforce written supervisory procedures, the obligations do not end there. This course takes a closer look at supervision rules as they relate to specific topics and products.

Learning Objectives

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

  • understand hiring and supervision processes of associated persons
  • understand complex products
  • understand exchange-traded funds
  • understand algorithmic trading

Designed For

Retail principals

Find this course for your license:

License or Certification