Series 7: 3.6.27 Rule G-27—Supervisory Procedures

Taken from our Series 7 Top-off Online Guide

3.6.27 Rule G-27—Supervisory Procedures

Broker-dealers must ensure that employees comply with MSRB and SEC rules. To achieve this result, firms must establish and maintain written procedures as a guide for employee behavior. Firms must also establish a supervisory system to oversee their compliance. Each

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