WRITTEN SUPERVISORY PROCEDURES

According to FINRA Rule 3010, every broker/dealer is required to establish and maintain a system to supervise the activities of their Registered Representatives and Associated Persons, including developing and maintaining a set of supervisory procedures that will reasonably ensure compliance with FINRA and SEC rules and regulations.

A compliant Written Supervisory Procedures Manual is the backbone to developing and implementing a strong compliance system throughout your organization. It is your primary tool for communicating the policies and procedures of the firm to Associated Persons. It is our goal to create a Written Supervisory Procedures Manual for your firm that meets and exceeds FINRA's requirements.

• Do you need to develop a new Written Supervisory Procedures Manual?
• Do your Written Supervisory Procedures meet FINRA requirements?
• Do you need someone to review, update and enhance your existing Written Supervisory Procedures?
• Do you need someone to advise you when new rules and regulations are passed that require amendments to your procedures?

If you answered yes to any of these questions, call Brokerage Consulting Group to discuss your specific requirements. Our consultants are experienced in preparing Written Supervisory Procedures for a new broker/dealer or maintaining and amending procedures for an existing firm.