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