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Written Supervisory Procedures - Regulus Advisors 2026
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- Click ‘Get Form’ to open the Written Supervisory Procedures in the editor.
- Begin with the 'Introduction to the Firm' section. Fill in your firm's name, address, and contact information as required.
- Proceed to the 'Supervisory System' section. Here, designate your principals and ensure that all supervisory personnel are properly recorded.
- In the 'Hiring, Registration and Supervision of Firm Personnel' section, complete all fields related to employee registration and compliance requirements.
- Continue to the 'Business Activities of the Firm' section. Document all business activities accurately, ensuring compliance with regulatory standards.
- Review the 'Customer Accounts' section carefully. Ensure that all customer account procedures are filled out correctly and reflect your firm's practices.
- Finally, check through each section for completeness and accuracy before saving or exporting your document for distribution.
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What is the WSP procedure?
What Are Written Supervisory Procedures (WSPs)? 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 are the supervision requirements for FINRA?
Each member shall 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. Final responsibility for proper supervision shall rest with the member.
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 on supervision?
FINRA Rule 3210 requires an executing member, upon written request by an employer member, to transmit duplicate copies of confirmations and statements, or the transactional data contained therein, with respect to an account subject to the rule.
What are the FINRA compliance requirements?
Compliance guidelines generally set forth the applicable rules and policies that must be adhered to and describe specific practices that are prohibited.13 By contrast, written supervisory procedures document the supervisory system to ensure that compliance guidelines are being followed.
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