Security Futures Training - Module 5: Supervision of the Offer and Sale of Security Futures

Security Futures Principals


General requirement
Qualifications for principals and representatives

  • Licensing
  • Examination modules
  • New candidates
  • Existing candidates


Hiring Employees


Review of securities and futures employment background


Annual Compliance Meetings


Account Approval


Specific approval required
Written procedures

  • Criteria used


Discretionary Accounts


Review of discretionary activity


Promotional Material and Correspondence


Review of correspondence
Review and approval of promotional material