BD- Written Supervisory Procedure (WSP) Attestation

The Written Supervisory Procedure (WSP) Attestation is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules.  The Attestation is used for registered, non-registered covered persons and/or associated persons who conduct broker-dealer business activities to acknowledge receipt of and compliance with a broker-dealer’s current written supervisory procedures.

Version/Update: V.4/May 22, 2018

Total Page Count: 1

Source/Author(s): Connexien