Series 22: Supervisory System

Taken from our Series 22 Top-off Online Guide

Supervisory System

A supervisory system is a defined structure that specifies how, where, and by whom a member firm’s oversight responsibilities for the activities of its employees are carried out. Its main purposes are to describe how the firm is to be managed, establish a managerial chain of command, and keep current written supervisory procedures that instruct managers how to carry out their responsibilities. The overall purpose of the supervisory system is to establish responsibility within the member firm t

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Recently passed the FINRA Series 22 Exam. Though the exam is short, the material is obscure and not what you deal with every day in the industry. Solomon did a great job of putting together material and providing a deep understanding. After about 6 weeks of studying and taking 2 practice exams a day, I passed the exam on the first try! Thanks for putting together a robust training product.

Eric Stroehle, Steelwater Wealth Management. Oakville, CT

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