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.
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.
Advanced Supervision - Pennsylvania Insurance Department
- Pennsylvania Insurance Department
- Website URL:
- Email Address:
- 1326 Strawberry Square