Series 51: Written Supervisory Procedures

Taken from our Series 51 Online Guide

Written Supervisory Procedures

While the supervisory system determines how the responsibility for regulatory compliance is shared within the firm, the written supervisory procedures document that system and instruct the supervisor as to how those responsibilities must be performed.

Written supervisory procedures must establish procedures to:

• Frequently review and approve customer accounts for compliance with applicable rules
• Periodically inspect each office to detect and prevent violations of the rules
• Maintain and

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Thank you so much for the easy reading! I passed the 51 on my first attempt!!

Amber Carrick, Keystone Financial Management, Bath, PA

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