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.
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
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