Broker-Dealer Compliance Manual Section 5- Books & Records Reqs.

The Broker-Dealer Written Supervisory Procedures Section on Books & Records Requirements serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110.  The WSP Section helps firms outline and implement effective supervisory processes regarding a firm’s books and records maintenance and preservation.  The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes four (4) separate sections and exhibit list that help firms outline effective supervisory processes that can be further customized to align with their specific business model. Members also viewed our WSP Library.

Version/Update: V2-09302022

Total Page Count/Format: 22/.docx

Source/Author(s): Connexien