Series 22: 5.1.4. Supervising Account Activities

Taken from our Series 22 Top-off Online Guide

5.1.4. Supervising Account Activities

FINRA rules outline in detail a procedural framework by which accounts must be supervised. Each member firm is required to specify in writing its supervisory responsibilities and supervisory procedures to govern the activities of its registered employees. Compliance with these procedures and their maintenance will be assured by certain supervisory controls, periodic inspections, and reviews.

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