Supervision: A Closer Look

Overview

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.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

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

Designed For:

Retail principals




Course Information

Adding additional credit may change exam requirements.