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

 

Approval
Review of discretionary activity

 

Promotional Material and Correspondence

 

Review of correspondence
Review and approval of promotional material