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People also ask
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What is the FINRA rule for WSP?
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.
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What are supervisory procedures?
FINRA Rule 3110 (Supervision) In Rule 3110, FINRA defines supervision as a system of policies and procedures designed by brokers and dealers to ensure that their staff handles investors' funds in line with applicable securities rules, laws and regulations in the normal course of day-to-day operations.
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What is the FINRA rule 3110 b 5?
FINRA Rule 3110(b)(5) requires firms to have supervisory procedures for capturing, acknowledging, and responding to all written customer complaints, including those submitted electronically.
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What is the written supervisory procedures review checklist?
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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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 is the FINRA rule for WSP?
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 written supervisory procedure?
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.
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What is the FINRA supervisory rule?
(a) Supervisory System 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.
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