Supervision in the Securities Industry II
Other Registration Options & Cancellation Policy
Tentative 2010 Course Agenda (PDF 35 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 and supervision of outside securities transactions and 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, filing Forms U4 and U5, state registration and continuing education
- Know when and how to conduct additional levels of review prior to extending an offer
- Understand and apply provisions relating to supervision of supervisory personnel, including special supervision of problem brokers
- Know when and how to supervise the outside securities transactions of registered persons
- 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 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.
