Copyright

Ch 22: Regulatory Framework in the Security Industry

About This Chapter

Let us help you prepare for an exam covering the regulatory framework of the security industry. We offer entertaining lessons, short quizzes and additional study tools you can access anytime to build your knowledge and excel on the exam.

Regulatory Framework in the Security Industry - Chapter Summary

By exploring this chapter's fun lessons, you can gain greater insight into the security industry's regulatory framework. Our instructors provide comprehensive overviews of FINRA Rule 4530, U4, U5 and also look at continuing education in security industries. Upon completion of this chapter, you could be ready to do the following:

  • List and discuss registration requirements in security industries
  • Explain the purpose of the U4 and U5 filing process
  • Share reporting requirements for FINRA Rule 4530
  • Describe how to process and report FINRA Rule 4530 customer complaints

In addition to engaging lessons, this chapter is filled with study materials that can simplify your exam preparation process. Take the quiz accompanying each lesson to quickly gauge your knowledge of main concepts. If you have any questions about lesson topics, get the clarity you need by sending them to our subject-matter experts via the dashboard. Before taking your exam, find out how well you comprehend this chapter by taking the practice test.

Chapter Practice Exam
Test your knowledge of this chapter with a 30 question practice chapter exam.
Not Taken
Practice Final Exam
Test your knowledge of the entire course with a 50 question practice final exam.
Not Taken

Earning College Credit

Did you know… We have over 200 college courses that prepare you to earn credit by exam that is accepted by over 1,500 colleges and universities. You can test out of the first two years of college and save thousands off your degree. Anyone can earn credit-by-exam regardless of age or education level.

To learn more, visit our Earning Credit Page

Transferring credit to the school of your choice

Not sure what college you want to attend yet? Study.com has thousands of articles about every imaginable degree, area of study and career path that can help you find the school that's right for you.

Support