FINRA Compliance Advanced Supervision (Interactive)

Advanced Supervision (Interactive)

30.00 30.00

  • Course Delivery: On Demand
  • Duration: 2 


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

At the conclusion of this course, you should be able to:

  • Summarize Rule 1021a.
  • 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.

Subject Matter Expert

This course is created and brought to you by 360training, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. 360training's high-quality e-learning courses assist thousands of working professionals in a wide range of disciplines, helping them to succeed in today's marketplace, to renew licenses, to acquire certification or to prepare for a new profession.


End of Course Instructions

Upon successful completion of the course, you will be able to print a certificate of completion from your training 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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