Broker-Dealer Compliance Manual Section 14- Private Placements

The Broker-Dealer Written Supervisory Procedures Section on Private Placements 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 private offerings.  The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes twelve (12) separate sections help firms outline effective supervisory processes that can be further customized to align with their specific business model. Recent updates include Reg. A/A+ and Crowdfunding (CF).

Version/Update: V9-12012023

Total Page Count/Format: 42/.docx

Source/Author(s): Connexien