Series 26: Supervisory Compliance

Taken from our Series 26 Online Guide

Supervisory Compliance

We have seen that FINRA requires its broker-dealer and investment company member firms to report the identities and certify the responsibilities of its key supervisory personnel. We know, too, that FINRA requires firms to prepare written supervisory procedures that instruct supervisors on how to perform those responsibilities.

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Since you're reading about Series 26: Supervisory Compliance, you might also be interested in:

Series 63 - Appendix B – Dishonest or Unethical Business Practices of Broker-Dealers and Agents

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Series 28 - FinCEN Records and Reports

Series 26 - Review of Transactions and Correspondence

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