Series 6: Special Supervisory Procedures

Taken from our Series 6 - Investment Company Products/Variable Contracts Representative Exam

Definition of the term Special Supervisory Procedures...

actions that a firm is sometimes required to take regarding the telemarketing activities of all its registered personnel. These actions must be adopted if the firm is found to employ an excessive number of registered persons who were previously associated with a disciplined firm during the past three years.

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