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The Hiring, Qualification, and Continuing Education section covers:- Qualification and registration requirements
The Supervision of Accounts and Sales Activities section covers:- Solicitation
- Opening of accounts
- Supervision of account activities
- Trading and settlement practices
The Conduct of Associated Persons section covers:- General supervisory responsibilities
- Procedural rules
- Dispute resolution procedures
The Recordkeeping Requirements section covers:- Recordkeeping requirements
- Customer complaint
- Securities investor protection act and SIPC rules
The Municipal Securities Regulation section covers:- Conduct of business
- Trading
- Confirmation, clearance, and settlement of transaction
The Options Regulation section covers:- Listed options
- Strategy investment posture for various market scenarios and their tax
- Implications
- Supervising options sales practices
- Communications with customers
- Trading practices
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