BD- FINRA Broker-Dealer Written Supervisory Procedures Checklist

The FINRA Broker-Dealer Written Supervisory Procedures Checklist ("WSP Checklist") is an outline of selected key topics representative of the range of business activities typically proposed by applicants seeking approval to become FINRA members or to expand their existing securities business under FINRA Membership and Registration Rules.  As part of the application process, applicants are required to submit a completed WSP Checklist, together with a copy of their Written Supervisory Procedures ("WSPs").  FINRA staff reviews the checklist and the WSPs in conjunction with its determination of whether the applicant meets the standards for admission under applicable FINRA Rules.

Version/Update: V.U/Feb. 2016/Verif. November 16, 2019

Total Page Count/Format: 81/.xlsx (landscape)

Source/Author(s): FINRA