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Annual Attestation for Research Supervisory Procedures NASD Rule 2711(i)

April 1, 2018

NASD Rule 2711(i) requires that a senior officer of the broker-dealer attest annually to FINRA electronically through the firm Gateway that the broker-dealer has adopted and implemented written supervisory procedures that are reasonably designed to achieve compliance with the rule’s provisions and that the compensation of all research analysts was reviewed and approved and the basis for the compensation has been documented.

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April 1, 2018
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