Broker-Dealer Compliance Manual Section 1- Personnel, Licensing & Reg.

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The Broker-Dealer Written Supervisory Procedures Section on Personnel, Licensing & Registration 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 its personnel, licensing and registration requirements.  The WSP Section includes nine (9) separate sections to address regulatory focal points often highlighted during the broker-dealer regulatory examination process.  Select sections include sample descriptions of supervisory review processes that can be further customized to align with your specific business model. Members also viewed our WSP Library.

Version/Update: V.7/June 30, 2023

Total Page Count/Format: 32/.docx

Source/Author(s): Connexien