Firm Element Supervisory Controls and Procedures

Supervisory Controls and Procedures

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 1 

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As with most regulatory agencies, FINRA and the SEC try to learn from painful experiences. In recent years, a single name has come to be known by virtually every registered representative and supervisor in the securities industry; that name is Gruttadauria. As the direct result of the reprehensible deeds of this one person, the securities industry has been additionally burdened with an entire set of regulatory demands that have extensively refashioned supervisory controls and procedures.

Topics Covered

This course will cover the following topics: Core insurance concepts for licensing exam Life Insurance/ Accident and Health insurance concepts for licensing exam State insurance law regulations for licensing exam



End of Course Instructions

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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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