Broker-Dealer Written Supervisory Procedures- Third-Party Vendor Mgmt Resources Total Page Count/Format: 10/

Total Page Count/Format: 10/

Members also downloaded 2021 Investment Adviser Year-end Compliance Checklist

The updated Broker-Dealer List of Books and Records & Retention Requirements serves as useful guide in determining the specific types of books and records required of broker-dealers as well as the timeline in which each record must be maintained in accordance with SEC Rule 17a-3 & 17a-4

The Training Packet includes twenty-seven separate operations and compliance related topics to address select regulatory focal points and updates often highlighted during regulatory examinations and emphasized in each year’s FINRA Regulatory and Examination Priorities Letter

2/February 1

Broker-Dealer Written Supervisory Procedures- Third-Party Vendor Mgmt Resources Total Page Count/Format: 10/The Broker Dealer Written Supervisory Procedures Section on Third Party Vendor Management serves as an important part of a firms written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110. The WSP Section on Third Party Vendor Management Procedures helps firms outline and implement effective supervisory processes regarding its third party vendor program. The WSP Section includes fifteen (15) separate