Firm Element Advanced Supervision

Advanced Supervision

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 1 

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This course provides context regarding principal registration under rules 1021 and 1022 and the role of the Chief Compliance officer in a member firm.

Course Objectives

Learning Objectives:
- Applicable rules before the enforcement of the registration rule of Chief Compliance Officer
- Need to implement these changes
- Objectives of the new regulations
- The specifics of the new regulations


Topics Covered

This course covers the following topics: Lesson 1: Ethics Defined Lesson 2: AICPA Ethics Lesson 3: Standards of Ethical Conduct for Practitioners of Management Accounting and Financial Management for Certified Managerial Accountants (CMA) and the Certified in Financial Management (CFM).



Subject Matter Expert

A nationally recognized provider of comprehensive Federal, state and international registration and compliance services to broker/dealers, investment advisors and insurance companies since 1984. Providing Registration, Licensing, Appointment processing, Web CRD Administration; IARD Administration; Supervisory Procedures; Internal Control procedures; Risk Assessment Reviews; Compliance Audits; Regulatory Enforcement Proceedings; Financial Reporting; Pre-Licensing and Continuing Education Training; web-based Annual Compliance Meetings; and innovative Software solutions.

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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