FINRA Compliance Supervisory Controls and Procedures under NASD Rules 3010, 3012 and FINRA Rule 3130 (Interactive)

Supervisory Controls and Procedures under NASD Rules 3010, 3012 and FINRA Rule 3130 (Interactive)

30.00 30.00

  • Course Delivery: On Demand
  • Duration: 2

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This course introduces the concepts of supervisory controls and procedures. As with most regulatory agencies, FINRA and the SEC try to learn and grown from bad experiences. In recent years, a single name has become notorious, recognizable by virtually every registered representative and supervisor in the securities industry. That name is Gruttadauria. In this course we will learn about Gruttadauria and how this person's actions forever changed the securities industry's approach to supervisory controls and procedures.


Course Objectives

At the end of this course, the student will be able to:
- Outline the Gruttadauria case.
- Describe the strengthened supervisory systems under NASD Rules 3010, 3012, and FINRA Rule 3130.
- Describe the role and responsibilities of a Chief Compliance Officer.





End of Course Instructions

Congratulations! You have successfully completed your online course; you may now print your certificate(s) online from your default login page (you may need to refresh this page)


Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.



You will be required to pass the final exam with a 70% in order to receive course credit.

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