Supervision in the Securities Industry I
|
Cost |
Members - $1,000 Non-Members - $1,400 |
|
|
Duration |
1 Day |
|
|
Time |
8:30 am – 5:15 pm |
|
|
CRCP Credits |
6 |
|
|
CRCP CE Credits |
6 |
|
|
CPE Credits |
7 |
|
|
CPE Course Type |
Overview |
|
|
Location |
Date |
Code |
|
TBD |
Available in 2010 |
TBD |
|
Venue |
||
|
TBD |
||
Other Registration Options & Cancellation Policy
Tentative 2010 Course Agenda (PDF 37 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.
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 FINRA rules to establish effective supervisory systems, written supervisory procedures and supervisory control systems
- Describe how to conduct the annual certification of compliance and supervisory procedures
- Explain recordkeeping requirements under SEC and FINRA rules
- Conduct branch office supervision activities
Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.
