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Section 1
Registration and qualification of associated persons — Qualification prerequisites
Preview
Preview: F1: Personnel Management Activities and Registration of the Broker-Dealer
Preview includes- 4 of 4 lesson topics
- 1 overview segment
- 3 core concepts
- 2 exam tips
Lesson Topics
- Qualification prerequisites
- Limited product scope
- Principal definition
- Series 6 versus Series 7 path
Overview
Series 26 is a limited principal registration for principals whose activities are limited to the business covered by the Investment Company and Variable Contracts Products Representative category.
Core Concepts
- FINRA Rule 1220(a)(11): a Series 26 principal may supervise only activities within the permitted limited product scope.
- Qualification path: register as a General Securities Representative (Series 7) or Investment Company and Variable Contracts Products Representative (Series 6), and pass Series 26; the SIE is also a corequisite for the representative registration.
- Series 26 permitted supervisory product scope includes mutual funds, variable annuities, variable life insurance, and closed-end funds during the initial distribution only.
Exam Tips
- On registration scenarios, identify the activity first, then the required registration category.
- If a supervisor passed Series 26 but lacks the required representative registration, do not activate the principal registration.
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Section 2
Form U4/U5 and registration-event supervision — U4 versus U5
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Section 3
Statutory disqualification concepts — Section 3(a)(39) triggers
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Section 4
Outside business activities and private securities transactions — Rule 3270 OBA
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Section 5
Continuing education — Regulatory Element
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Section 6
Branch and office registration concepts — Form BR
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Section 7
Personnel records and supervisory responsibilities — Rule 3110 system
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Section 8
Broker-dealer registration and membership requirements — Form BD/BDW
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Section 9
Registration and qualification of associated persons — Limited product scope
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Section 10
Form U4/U5 and registration-event supervision — 30-day deadlines
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Section 11
Statutory disqualification concepts — Eligibility proceedings
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Section 12
Outside business activities and private securities transactions — Rule 3280 PST
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Section 13
Continuing education — Firm Element
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Section 14
Branch and office registration concepts — OSJ definition
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Section 15
Personnel records and supervisory responsibilities — WSP implementation
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Section 16
Broker-dealer registration and membership requirements — FINRA membership
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Section 17
Registration and qualification of associated persons — Principal definition
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Section 18
Form U4/U5 and registration-event supervision — Form accuracy and verification
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Section 19
Statutory disqualification concepts — Person-specific analysis
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Section 20
Outside business activities and private securities transactions — Selling compensation
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Section 21
Continuing education — Annual compliance meeting
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Section 22
Branch and office registration concepts — Office classification
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Section 23
Personnel records and supervisory responsibilities — Form U4 verification
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Section 24
Broker-dealer registration and membership requirements — Uniform Forms
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Section 25
Registration and qualification of associated persons — Series 6 versus Series 7 path
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Section 26
Form U4/U5 and registration-event supervision — Uniform Form selection
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Section 27
Statutory disqualification concepts — Reporting versus eligibility
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Section 28
Outside business activities and private securities transactions — Firm approval and supervision
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Section 29
Continuing education — Product/supervisory training
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Section 30
Supervision of mutual fund sales — Reg BI and cost
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Section 31
Supervision of variable annuity and variable life sales — Rule 2330 scope
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Section 32
Closed-end fund initial-offering supervision — Series 26 scope
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Section 33
Communications with the public — 2210 definitions
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Section 34
Suitability/Reg BI-related supervisory concepts where applicable — Reg BI scope
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Section 35
Switching and replacement concerns — Exchange determinations
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Section 36
Breakpoints, rights of accumulation and letters of intent — Breakpoint mechanics
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Section 37
Share classes and sales charges — Class A/C cost patterns
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Section 38
Variable-product prospectus and disclosure — Product identification
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Section 39
Customer account opening and investment objectives — KYC essential facts
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Section 40
Sales contests, gifts and non-cash compensation — Rule 3220 $300
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Section 41
Complaints and sales-practice red flags — Complaint intake
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Section 42
Senior/investor-protection supervision — Specified adult
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Section 43
Supervision of mutual fund sales — Breakpoints/ROA/LOI
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Section 44
Supervision of variable annuity and variable life sales — Customer information
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Section 45
Closed-end fund initial-offering supervision — Offering communications
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Section 46
Communications with the public — Retail approval
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Section 47
Suitability/Reg BI-related supervisory concepts where applicable — Four obligations
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Section 48
Switching and replacement concerns — 36-month history
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Section 49
Breakpoints, rights of accumulation and letters of intent — ROA
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Section 50
Share classes and sales charges — Rule 2341 limits
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Section 51
Variable-product prospectus and disclosure — Liquidity
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Section 52
Customer account opening and investment objectives — Authority
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Section 53
Sales contests, gifts and non-cash compensation — Variable-contract compensation
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Section 54
Complaints and sales-practice red flags — Pattern detection
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Section 55
Senior/investor-protection supervision — Reasonable belief
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Section 56
Supervision of mutual fund sales — Share-class conflicts
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Section 57
Supervision of variable annuity and variable life sales — Principal review/timing
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Section 58
Closed-end fund initial-offering supervision — Reg BI
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Section 59
Communications with the public — Institutional review
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Section 60
Suitability/Reg BI-related supervisory concepts where applicable — Cost and alternatives
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Section 61
Switching and replacement concerns — Surrender/benefit analysis
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Section 62
Breakpoints, rights of accumulation and letters of intent — LOI
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Section 63
Share classes and sales charges — 12b-1/service fees
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Section 64
Variable-product prospectus and disclosure — Guarantees
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Section 65
Customer account opening and investment objectives — Trusted contact
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Section 66
Sales contests, gifts and non-cash compensation — Investment-company compensation
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Section 67
Complaints and sales-practice red flags — Rule 4513
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Section 68
Senior/investor-protection supervision — Notice exception
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Section 69
Supervision of mutual fund sales — Supervisory exception review
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Section 70
Supervision of variable annuity and variable life sales — Exchange factors
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Section 71
Closed-end fund initial-offering supervision — Artificial scarcity
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Section 72
Communications with the public — Filing timing
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Section 73
Suitability/Reg BI-related supervisory concepts where applicable — Conflicts
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Section 74
Switching and replacement concerns — Principal review timing
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Section 75
Breakpoints, rights of accumulation and letters of intent — Rule 2342 facts/circumstances
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Section 76
Share classes and sales charges — Holding-period analysis
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Section 77
Variable-product prospectus and disclosure — Ratings
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Section 78
Customer account opening and investment objectives — Investment profile
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Section 79
Sales contests, gifts and non-cash compensation — Training meetings
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Section 80
Complaints and sales-practice red flags — Rule 4530
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Section 81
Senior/investor-protection supervision — 15/10/30 timing
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Section 82
Supervision of mutual fund sales — Selling dividends
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Section 83
Supervision of variable annuity and variable life sales — Variable-life supervision
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Section 84
Closed-end fund initial-offering supervision — Principal approval
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Section 85
Communications with the public — Content standards
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Section 86
Suitability/Reg BI-related supervisory concepts where applicable — Rule 2111 boundary
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Section 87
Switching and replacement concerns — Reg BI overlay
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Section 88
Breakpoints, rights of accumulation and letters of intent — Household/fund-family eligibility
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Section 89
Share classes and sales charges — Breakpoint effects
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Section 90
Variable-product prospectus and disclosure — Prospectus/disclosure
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Section 91
Customer account opening and investment objectives — Account approval
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Section 92
Sales contests, gifts and non-cash compensation — Internal contests
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Section 93
Complaints and sales-practice red flags — Electronic complaints
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Section 94
Senior/investor-protection supervision — Internal review
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Section 95
Supervision of mutual fund sales — Rule 2341 compensation
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Section 96
Supervision of variable annuity and variable life sales — Rule 2320 compensation
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Section 97
Closed-end fund initial-offering supervision — Supervisory controls
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Section 98
Communications with the public — Social media
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Section 99
Suitability/Reg BI-related supervisory concepts where applicable — Rule 3110 supervision
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Section 100
Switching and replacement concerns — Replacement red flags
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Section 101
Breakpoints, rights of accumulation and letters of intent — Reg BI conflict
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Section 102
Share classes and sales charges — Compensation conflicts
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Section 103
Variable-product prospectus and disclosure — Rule 2210 approval
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Section 104
Customer account opening and investment objectives — Reg BI data
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Section 105
Sales contests, gifts and non-cash compensation — Direct compensation
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Section 106
Complaints and sales-practice red flags — Escalation
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Section 107
Senior/investor-protection supervision — Trusted contact
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Section 108
Supervision of mutual fund sales — Pattern surveillance
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Section 109
Supervision of variable annuity and variable life sales — Rule 2211 communications
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Section 110
Closed-end fund initial-offering supervision — Post-offering boundary
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Section 111
Communications with the public — Variable-product communications
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Section 112
Suitability/Reg BI-related supervisory concepts where applicable — Product-specific overlays
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Section 113
Switching and replacement concerns — Documentation
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Section 114
Breakpoints, rights of accumulation and letters of intent — Supervisory controls
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Section 115
Share classes and sales charges — No-load terminology
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Section 116
Variable-product prospectus and disclosure — Balanced benefits/risks
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Section 117
Customer account opening and investment objectives — Updates
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Section 118
Sales contests, gifts and non-cash compensation — Recordkeeping
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Section 119
Written supervisory procedures — WSP design
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Section 120
Supervisory controls and branch inspections — Rule 3120 controls
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Section 121
AML program oversight — Written AML program
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Section 122
Customer identification and suspicious activity concepts — CIP methods
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Section 123
Books and records — Rule 4511
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Section 124
Privacy and information-protection requirements — Safeguards
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Section 125
Net capital/customer-protection concepts relevant to principal supervision — Net capital
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Section 126
Cash and securities handling — Customer funds/securities
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Section 127
Confirmations and statements — Rule 10b-10
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Section 128
Business continuity planning — BCP contents
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Section 129
Complaint handling and regulatory reporting — 4530(a) events
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Section 130
Communications review and retention — Review versus retention
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Section 131
Investment-company and variable-product compliance — 2341 vs 2320
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Section 132
FINRA/SEC filing and recordkeeping obligations — Uniform Forms
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Section 133
Written supervisory procedures — Assignment/delegation
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Section 134
Supervisory controls and branch inspections — Office inspections
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Section 135
AML program oversight — Independent testing
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Section 136
Customer identification and suspicious activity concepts — Failed verification
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Section 137
Books and records — 17a-3 vs 17a-4
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Section 138
Privacy and information-protection requirements — Incident response
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Section 139
Net capital/customer-protection concepts relevant to principal supervision — Possession/control
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Section 140
Cash and securities handling — Prompt payment
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Section 141
Confirmations and statements — Rule 2232
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Section 142
Business continuity planning — Approval
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Section 143
Complaint handling and regulatory reporting — 4530(b) internal conclusions
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Section 144
Communications review and retention — Texts/social media
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Section 145
Investment-company and variable-product compliance — 2330 overlay
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Section 146
FINRA/SEC filing and recordkeeping obligations — Rule 4530
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Section 147
Written supervisory procedures — Exception handling
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Section 148
Supervisory controls and branch inspections — Independence
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Section 149
AML program oversight — AML officer
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Section 150
Customer identification and suspicious activity concepts — SAR threshold/timing
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Section 151
Books and records — Electronic communications
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Section 152
Privacy and information-protection requirements — Service providers
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Section 153
Net capital/customer-protection concepts relevant to principal supervision — Reserve/customer protection
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Section 154
Cash and securities handling — T+1 settlement
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Section 155
Confirmations and statements — Rule 2231
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Section 156
Business continuity planning — Annual review
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Section 157
Complaint handling and regulatory reporting — Quarterly complaints
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Section 158
Communications review and retention — Approval evidence
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Section 159
Investment-company and variable-product compliance — Forward pricing
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Section 160
FINRA/SEC filing and recordkeeping obligations — FOCUS
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Section 161
Written supervisory procedures — Electronic WSPs
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Section 162
Supervisory controls and branch inspections — Annual reports
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Section 163
AML program oversight — Training
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Section 164
Customer identification and suspicious activity concepts — CTR/structuring
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Section 165
Books and records — Record integrity
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Section 166
Privacy and information-protection requirements — 72-hour notice
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Section 167
Net capital/customer-protection concepts relevant to principal supervision — FINRA capital action
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Section 168
Cash and securities handling — ACATS
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Section 169
Confirmations and statements — Statement reconciliation
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Section 170
Business continuity planning — Customer disclosure
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Section 171
Complaint handling and regulatory reporting — Disciplinary actions
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Section 172
Communications review and retention — Misleading content
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Section 173
Investment-company and variable-product compliance — Compensation
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Section 174
FINRA/SEC filing and recordkeeping obligations — 17a-3/17a-4
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Section 175
Written supervisory procedures — Supervisor supervision
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Section 176
Supervisory controls and branch inspections — Rule 3130
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Section 177
AML program oversight — BSA/OFAC
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Section 178
Customer identification and suspicious activity concepts — OFAC
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Section 179
Books and records — Accessibility
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Section 180
Privacy and information-protection requirements — Customer notice
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Section 181
Net capital/customer-protection concepts relevant to principal supervision — SIPC
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Section 182
Cash and securities handling — Account changes
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Section 183
Confirmations and statements — Deferred-load legend
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Section 184
Business continuity planning — Emergency contacts
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Section 185
Complaint handling and regulatory reporting — U4/U5 overlap
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Section 186
Communications review and retention — Off-channel risk
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Section 187
Investment-company and variable-product compliance — New products
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Section 188
FINRA/SEC filing and recordkeeping obligations — Record integrity
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Section 189
Written supervisory procedures — Change management
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Section 190
Supervisory controls and branch inspections — Inspection cadence
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Section 191
AML program oversight — Program risk updates
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Section 192
Customer identification and suspicious activity concepts — SAR confidentiality
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Section 193
Books and records — Retention periods
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Section 194
Privacy and information-protection requirements — Records
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Section 195
Net capital/customer-protection concepts relevant to principal supervision — Calculation errors
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Section 196
Cash and securities handling — Operational exception reports
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Section 197
Confirmations and statements — Error remediation
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Section 198
Business continuity planning — Counterparties
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Section 199
Complaint handling and regulatory reporting — Complaint retention
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Section 200
Communications review and retention — Record metadata
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