Series 24: 2.1.5. Written Supervisory Procedures

Taken from our Series 24 Online Guide

2.1.5. Written Supervisory Procedures

A firm's written supervisory procedures (WSPs) document the supervisory system and instruct supervisors as to how their supervisory responsibilities must be performed.

The member firm’s written supervisory procedures must record the names, titles, registration status, and locations of all its supervisory p

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