Tag Archives: WSPs

FINRA Releases New Written Supervisory Procedures Checklist

FINRA has released an updated Written Supervisory Procedures Checklist to reflect new FINRA rules. 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 … Continue reading FINRA Releases New Written Supervisory Procedures Checklist