Advanced Supervision for Financial Professionals

25.0085.00
$85.00
-+
PRICE PER USER
$
X
USERS


=
SUBTOTAL
$
  • Course Delivery: On Demand
  • Credit Hours: 2
  • Language: English
  • Credit Type: General
  • Difficulty: Intermediate

Description

This course introduces the concept of advanced supervision, as outlined by the Securities and Exchange Commission's (SEC) approved amendments to FINRA. This course will discuss the changes that resulted from these amendments.

Course Objectives

At the conclusion of this course, you will be able to:

  • Summarize Rule 1021(a).
  • Describe the role of the Chief Compliance Officer.
  • List the different qualifying examinations for an individual to be registered under a limited principal category.
  • Describe the attorney-client privilege.

Regulatory Information

Advanced Supervision - Pennsylvania Insurance Department

Got questions? Contact Us or call 877-881-2235

Contact Sales

NOTE: Need Help? Are you an existing customer?
For all complaints or concerns Click here. For all sales enquiries, please fill out the form below.

Why Choose 360training.com?

  • Fast and easy courses completion
  • Get an education faster than at traditional colleges!
  • 100% online - No classroom attendance required.
  • Online customer support
  • Over 500,000+ certified nationwide.