Advanced Supervision (Interactive)


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.


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


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