Drafting and Maintaining Written Supervisory Procedures
| Cost |
Members - $525 Non-Members - $750 |
|
| Duration | 1/2 Day | |
| Time | 8:30 am–1:15 pm | |
| CRCP Credits | 3 | |
| CRCP CE Credits | 3 | |
| CPE Credits | 4 | |
| CPE Course Type | Overview | |
| Location | Date | Code |
| TBD | Available in 2010 | TBD |
| Venue | ||
| TBD | ||
Other Registration Options & Cancellation Policy
Tentative 2010 Course Agenda (PDF 37 KB)
FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) Candidates who enrolled in the program after January 2007 are required to complete this course in order to meet the Phase II CRCP requirement.
Course Description
This course covers the rules that require firms to establish and maintain a system to supervise the activities of registered representatives and associated staff. The course focuses on hands-on casework that allows participants to implement practices for developing supervisory procedures.
After completing this course, you will be able to:
- Explain obligations under FINRA rules to write and maintain written supervisory procedures
- Describe a firm’s considerations when drafting or updating written supervisory procedures
- Design procedures appropriate to a firm’s business model
- Identify when and how to update procedures
Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.
