Hiring and Supervising Registered Representatives in the Retail Space

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!

Course Media Options

About This Course

This CLE program will highlight best practices related to the hiring and supervision of registered representatives in the retail space.

After attending this session, you will:

  • Understand effective practices for assessing risk when considering registered representatives (RRs) for employment;
  • Learn how to conduct background checks.
  • Review screening techniques.
  • Identify why compliance should be involved in the on-boarding and termination process.
  • Learn of effective risk management controls to mitigate risk associated with registered representative activities

Spend less and get more

Get the courses that you need and the forms completed in days — not weeks or months.

Feature Ribbon Icon
CLE Manager on a headset

Dedicated CLE Manager

Quality help from a responsive CLE expert dedicated to assisting you.

Feature Ribbon Icon
A wall of media options

Riveting Content & an Exceptional Library

Experience outstanding presenters.

Feature Ribbon Icon
Customer viewing progress on a computer

Free Customized CLE Tracker

Keep crystal clear records of your courses and credits.

Feature Ribbon Icon
All of our media formats

Online, Audio CD, DVD, iOS/Android App, USB Stick

Learn at your pace, in the format that you prefer.

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options