Series 82: Supervisory Controls

Taken from our Series 82 - FINRA Private Securities Offerings Exam

Definition of the term Supervisory Controls...

a system of written controls required by FINRA that ensure a supervisory system is functioning as it should.

Since you're reading about Series 82: Supervisory Controls, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 82
Please Enable Javascript
to view this content!