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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).
What is the FINRA rule for written supervisory procedures?
FINRA Rule 3110 (Supervision) The rule details requirements for a firm to have reasonably designed written supervisory procedures (WSPs) to supervise the activities of its associated persons and the types of businesses in which it engages.
What is the FINRA rule for written supervisory procedures?
FINRA Rule 3110 (Supervision) The rule details requirements for a firm to have reasonably designed written supervisory procedures (WSPs) to supervise the activities of its associated persons and the types of businesses in which it engages.
What is included in written supervisory procedures?
The written supervisory procedures are a manual that contains the framework and execution steps to supervise salespeople and firm activities and must be designed to achieve compliance with securities rules and regulations, and state and federal laws.
What does WSP mean in compliance?
Written Supervisory Procedures Review Checklist. Page 1. WSP Checklist.
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The WSPs are a living document and should provide a road map for the supervisory personnel to follow when they conduct each review. WSPs should not be updated only to reflect changes to rules and regulations, but also when changes are made to the supervisory process.
What are the supervisory procedures?
The written supervisory procedures are a manual that contains the framework and execution steps to supervise salespeople and firm activities and must be designed to achieve compliance with securities rules and regulations, and state and federal laws.
What is a WSP in compliance?
The 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 NASD Membership and Registration Rules (
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Written policies that are vigorously enforced by executive staff and the board send a message that misconduct is not tolerated. These policies should cover any
The firm shall maintain a record of the clients/investors to whom the form is offered, the date and form of the offer (by representative sample copy), and of
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