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Written Supervisory Procedures - Regulus Advisors

Written Supervisory Procedures - Regulus Advisors 2025

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The document outlines the Written Supervisory Procedures for Regulus Advisors, LLC, detailing the firm's supervisory system, hiring and registration processes, business activities, customer account management, communications with the public, anti-money laundering policies, branch office activities, continuing education requirements, financial and operational activities, trading practices, and supervisory responsibilities. It emphasizes compliance with SEC and FINRA regulations to ensure proper supervision of registered representatives and associated persons while maintaining customer protection and ethical standards in securities transactions.

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2021	4.1 Satisfied (45 Votes)
2015	4 Satisfied (25 Votes)

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We have answers to the most popular questions from our customers. If you can't find an answer to your question, please contact us.

What are written supervisory procedures?

Written Supervisory Procedures (WSPs) are detailed documents that outline the supervisory responsibilities, policies, and procedures a broker-dealer firm must follow to comply with industry regulations.

What is the FINRA Rule 3110 remote work?

FINRA clarified that Rule 3110, FINRAs Supervision Rule, exempts private residences from branch office registration obligations and that these rules were designed to provide firms with remote work flexibility while protecting investors and providing regulatory oversight.

What is FINRA rule 3110 heightened supervision?

FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.

What is heightened supervision?

Heightened Supervision is a formal process requiring a Registered Representative (RR) to have enhanced oversight of their activities by a designated supervisory principal.

What is the rule 3110 heightened 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 a wsp manual?

Water safety plan manual (WSP manual): step-by-step risk management for drinking-water, first edition.

What are supervisory procedures?

Written supervisory procedures document the supervisory and monitoring systems that have been established to monitor and confirm that the compliance procedures are being followed and to prevent and detect prohibited practices.

What is the FINRA rule 3110 transmittals?

FINRA Rule 3110 specifically requires firms to adopt procedures concerning transmittals of customer funds that include a means of customer confirmation.

Written Supervisory Procedures - Regulus Advisors 2025

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