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