Broker-Dealer Compliance Manual General Operations Section 1-11

The updated Broker-Dealer Written Supervisory Procedures Sections 1-11 serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110 by covering the general operations required of all firms regardless of their approved business activities or product lines.  These Sections will help firms outline and implement effective supervisory processes in areas such Personnel, Standards of Conduct, General Supervision, Continuing Education, Books and Records, Communications, Account & Transactions, Regulation S-P, AML, and Third-Party Vendor Management, that can be further customized to align with their specific business model. Firms are encouraged to also select specific investment product lines based on their FINRA Membership Agreement to add to these General Operations Sections. Members also viewed our WSP Library.

Version/Update: V13-12312024

Total Page Count/Format: 365/.docx

Source/Author(s): Connexien