Written Supervisory Procedures - Regulus Advisors 2026

Get Form
Written Supervisory Procedures - Regulus Advisors Preview on Page 1

Here's how it works

01. Edit your form online
Type text, add images, blackout confidential details, add comments, highlights and more.
02. Sign it in a few clicks
Draw your signature, type it, upload its image, or use your mobile device as a signature pad.
03. Share your form with others
Send it via email, link, or fax. You can also download it, export it or print it out.

How to use or fill out Written Supervisory Procedures - Regulus Advisors with our platform

Form edit decoration
9.5
Ease of Setup
DocHub User Ratings on G2
9.0
Ease of Use
DocHub User Ratings on G2
  1. Click ‘Get Form’ to open the Written Supervisory Procedures in the editor.
  2. Begin with the 'Introduction to the Firm' section. Fill in your firm's name, address, and contact information as required.
  3. Proceed to the 'Supervisory System' section. Here, designate your principals and ensure that all supervisory personnel are properly recorded.
  4. In the 'Hiring, Registration and Supervision of Firm Personnel' section, complete all fields related to employee registration and compliance requirements.
  5. Continue to the 'Business Activities of the Firm' section. Document all business activities accurately, ensuring compliance with regulatory standards.
  6. Review the 'Customer Accounts' section carefully. Ensure that all customer account procedures are filled out correctly and reflect your firm's practices.
  7. Finally, check through each section for completeness and accuracy before saving or exporting your document for distribution.

Engage with our platform today to streamline your document editing and ensure compliance effortlessly!

See more Written Supervisory Procedures - Regulus Advisors versions

We've got more versions of the Written Supervisory Procedures - Regulus Advisors form. Select the right Written Supervisory Procedures - Regulus Advisors version from the list and start editing it straight away!
Versions Form popularity Fillable & printable
2021 4.1 Satisfied (45 Votes)
2015 4 Satisfied (25 Votes)
be ready to get more

Complete this form in 5 minutes or less

Get form

Got questions?

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

Complete this form in 5 minutes or less

Get form