Understanding the Compliance Obligations of a Supervisor

Overview

This course will review the compliance and regulatory responsibilities of a supervisor.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • Describe FINRA's supervision rules
  • Understand your obligations with regard to written supervisory procedures
  • Understand your obligations with regard to supervision of associated persons
  • Understand the rules on handling customer complaints
  • Understand the inspection and training requirements of the rule
  • Understand the requirements to test supervisory systems to ensure compliance with the rules

Designed For:

Registered principals




Course Information

Adding additional credit may change exam requirements.