Series 53: 3.1.3.1. Written Supervisory Procedures And Approval By Principal

Taken from our Series 53 Online Guide

3.1.3.1. Written Supervisory Procedures and Approval by Principal

The firm’s written supervisory procedures must codify the rules for opening new customer accounts to ensure regulatory compliance. In addition, every new customer account must be promptly reviewed and approved in writing by a designated principal.

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