Supervisory Controls
On-Demand Program
This workshop focuses on NASD Rules 3012 and 3013 covering supervisory control systems and annual certification. Panelists discuss regulatory requirements and firm practices regarding annual testing and verification of supervisory procedures, CEO certification and CCO designation, and reliance on the "limited size and resources" exception. FINRA staff also provides insight into examination findings in this area. The Supervisory Controls Online Workshop lasts approximately 90 minutes and its original, live air date was January 17, 2008.
Registration Fees
|
Member |
Non-Member |
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$25 |
$50 |
System Test
Prior to registering for this session, we recommend testing your computer system to ensure it meets the minimum systems requirements for viewing Online Workshops. Test your system.
How to Register
|
Online |
Register for the FINRA Online Workshop On-Demand Program |
|
Phone |
To register by phone, please call (212) 858-4119. |
Note: A confirmation email will be sent to you upon receipt of payment.
If you have questions regarding the Online Workshops, you can visit our Online Workshops FAQ, or email us.
FINRA's Online Workshops are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the Online Workshop does not constitute any NASD rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under NASD rules, the rules of any other SRO, or securities laws. Use of this Online Workshop does not create a safe harbor from regulatory responsibility. This Online Workshop is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the Online Workshops in any form, nor reference them in any publication, without the express written consent of FINRA.
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.
