Introduction
This in an introduction to the Supervisory Systems section of the Series 26 Exam preparation. There is extensive focus on supervisory procedures, and FINRA conduct rules. This section further explains continued education, complaint handling, and arbitration.
Written Supervisory Procedures

Related Articles
  1. Personal Finance

    What To Expect On The CFA Level II Exam

    This article will help you understand the nuances of the CFA Level II exam.
  2. Insights

    If You Win a Broker Arbitration, But Can't Collect

    Here's what to do next if your broker stiffs you when you win an arbitration.
  3. Insurance

    Section 125 Plan (Cafeteria Plan): How Does It Work?

    Learn about section 125 cafeteria plans, who is allowed to use one, how it works, the benefits it provides, and how to set one up.
  4. Insights

    FINRA: How It Protects Investors

    Find out the history of FINRA, and how it's organized to monitor the markets and protect investors.
  5. Insights

    FINRA Files Plans to Change Series 7 and Other Exams

    New details have emerged on the Securities Industry Essentials Exam required for becoming a registered representative.
  6. Financial Advisor

    Series 6 Exam Prep: What Is A Security?

    Before you take the series 6, you need to understand what a security is as defined by the exam.
  7. Investing

    Profit With Investment Policy Statements

    Defining how investments are managed and monitored can help investors meet their goals.
  8. Financial Advisor

    Series 65 Exam Prep: The Investment Advisor

    Before you take the series 65, you need to understand who is an investment advisor as defined by the exam.
Frequently Asked Questions
  1. Why Do a Reverse Merger Instead of an IPO?

    Reverse mergers are often the most cost-efficient way for private companies to trade publicly.
  2. Determining a Firm's Percentage of Credit Sales

    Find out where to look for information about determining a company's percentage of credit sales.
  3. What Does the Diluted Share Price Reveal?

    Learn how diluted share price affects earnings and the company's overall financial performance.
  4. How Can Institutional Holdings Be More Than 100%?

    No entity can own more than 100% of a company's outstanding shares, but it can be reported that way.
Trading Center