Series 26: Supervisory Compliance

Taken from our Series 26 Online Guide

Supervisory Compliance

We have seen that FINRA requires its broker-dealer and investment company member firms to report the identities and certify the responsibilities of its key supervisory personnel. We know, too, that FINRA requires firms to prepare written supervisory procedures that instruct supervisors on how to perform those responsibilities.

To

Since you're reading about Series 26: Supervisory Compliance, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 26
Please Enable Javascript
to view this content!