Drafting and Maintaining Written Supervisory Procedures

Cost

Members - TBA

Non-Members - TBA
Duration 1/2 Day
Time 8:30 am - 1:45 pm
CRCP Credits 3
CRCP CE Credits 3
CPE Credits 4 
CPE Course Type Overview
Location Date Code

TBA

TBA

TBA
Venue

TBA

 

Other Registration Options & Cancellation Policy

Tentative 2009 Agenda (PDF 32 KB)

 

FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) Candidates who enrolled in the program after January 2007 are required to complete this course in order to meet the Phase II CRCP requirement.

 

Course Description


This Course Covers the rules that require firms to establish and maintain a system to supervise the activities of registered representatives and associated staff. The course focuses on hands-on casework that allows participants to implement practices for developing supervisory procedures.


After completing this course, you will be able to:

  • Explain supervisory obligations based on FINRA rules
  • Describe firm considerations when drafting or updating written supervisory procedures
  • Design procedures appropriate to a firm's business model
  • Identify when and how to update procedures

 

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.