Advanced Supervision for Financial Professionals
New Year Offer! Save 10% today! Discount applied in cart.
- Course Delivery: On Demand
- Credit Hours: 2
- Language: English
- Credit Type: General
- Difficulty: Intermediate
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:
- [email protected]
- 1326 Strawberry Square
Got questions? Contact us below or call 877-881-2235
Why Choose 360training.com?
- Fast and easy courses completion
- Get an education faster than at traditional colleges!
- 100% online - No classroom attendance required.
- Unlimited 24x7 online customer support
- Over 500,000+ certified nationwide.