Supervision in the Securities Industry II

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
CRCP CE Credits Overview
Location Date Code
Chicago, IL October 15, 2008 CL1982 - 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 covers hiring practices, heightened supervision and supervision of sales and trading activities. Case studies demonstrate supervisory situations and lead participants through the decision-making process. The curriculum builds on core concepts covered in Supervision in the Securities Industry I.

After completing this course, you will be able to:

  • Explain the regulatory requirements governing hiring of registered persons, including background checking, fingerprinting, U4 and U5 filing, state registration and continuing education
  • Know when and how to conduct additional levels of review prior to extending an offer
  • Understand when heightened supervision is required
  • Describe how supervisory practices, surveillance activities and inspections/independent testing are used collectively for supervision of sales and trading practices
  • Apply surveillance techniques to detect and prevent sales and trading practice abuses

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.