Supervision in the Securities Industry I

Cost

Members - $950
Non-Members - $1,300

Duration

1 Day

Time

8:30 am - 5:00 pm

CRCP Credits

6

CRCP CE Credits

6

CPE Credits

7 

CPE Course Type

Overview

Location

Date

Code

Chicago, IL

October 14, 2008

CL1882 - Register Online Now

Venue

The University of Chicago
Gleacher Center
450 N. Cityfront Plaza Drive
Chicago, IL 60611

 

Other Registration Options & Cancellation Policy

 

October Course Agenda (PDF 29 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 explains FINRA and SEC rules and regulatory guidance governing supervision of employee actions. The curriculum covers the legal and regulatory framework outlined in SEC Rules 17a-3 and 17a-4, and NASD Rules 3010, 3012 and 3013.

After completing this course, you will be able to:

 

  • Explain the legal and regulatory framework that requires firms to supervise their employees' actions
  • Apply the obligations under NASD Rules 3010 and 3012 to establish effective supervisory systems, written supervisory procedures and supervisory control systems
  • Describe how to conduct the annual certification of compliance and supervisory procedures under NASD Rule 3013
  • Explain recordkeeping requirements under SEC Rules 17a-3 and 17a-4, and NASD Rule 3110
  • Conduct branch office supervision activities

 

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.