Series 24: Heightened Supervision

Taken from our Series 24 Online Guide

Heightened Supervision

Written supervisory control procedures are required to be especially vigilant with regard to the activities of a producing manager (branch office manager, sales manager) who is responsible for generating 20% or more of the revenue of the business units supervised by that manager’s supervisor. A business unit comprises all the types of production revenue overseen by a producing manager’s supervisor.

Heightened supervisory procedures must be designed specifically to detect or prevent conflicts of

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