BD- FINRA CAB Written Supervisory Procedures Checklist (Excel)

FINRA’s Capital Acquisition Broker (“CAB”) Written Supervisory Procedures Checklist (“WSP Checklist”) is an outline of selected key topics representative of the business activities typically engaged in by CAB members and permissible under FINRA’s CAB Rules. This optional tool is provided to assist FINRA member firms in fulfilling their regulatory obligations. This tool is provided as a starting point and must be tailored to reflect the size and needs of the FINRA member firm.  Members also downloaded FINRA CAB Written Supervisory Procedures Checklist in PDF format.

Version/Update: V.U/November 16, 2021

Total Page Count/Format: 22/.xlsx (portrait)

Source/Author(s): FINRA