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

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

• 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

Registered principals