Series 27: Written Supervisory Procedures (WSPs)

Taken from our Series 27 Online Guide

Written Supervisory Procedures (WSPs)

The supervisory system describes how the responsibility for regulatory compliance is shared within the member firm. The written supervisory procedures (WSPs) document the supervisory system and instruct supervisors how to perform their responsibilities.

The member firm’s WSPs must record the names, titles, registrat

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Written Supervisory Procedures (WSPs), you might also be interested in:

Series 24 - 2.7.10.1. Recordkeeping and Reporting Requirements for Carrying Agreements

Series 7 - 10.3. The Capital Asset Pricing Model

Series 27 - Exemption for Certain Liens on Securities of Noncustomers

SIE - 10.2.10. Investor Education and Protection

SIE - 2.7. Interest Rates and Bond Prices

Series 66 - 2.5.2.2.1 Dividend Discount Model

Series 63 - Registration by Coordination

Series 53 - Municipal Securities

Series 6 - 7.5.3.1. Lifetime Records

Series 53 - 3.2.4. Handling Customer Complaints

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

I passed my 27 and I can't thank you enough for the preparation materials, most importantly the Final Exams. I studied for weeks for this test and buckled down the last two weeks of 6 hour study days. It's a great feeling and I couldn't have done it without you!!!

Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

Passed the 52 and 53 within two months thanks to the clarity of Solomon's materials. Great product!

Jonathan Bowman, Raymond James. Ennice, NC

I recently passed the Series 65 exam, really recommend this study material. I used other vendors before with no success; this is the best in the market. Thanks so much!

Mauricio Reyes. Boca Raton, FL

I thought the Series 79 materials were top notch. The Solomon practice exams were pretty spot on to what I encountered when I took the exam. Your course was key to my passing the exam on the first try. Thank you and money well spent.

Jeffrey Bartlett RSA Capital, Mequon, Wisconsin

Studying for the 24 was not easy. I felt Solomon's course materials and online portal prepared me well for passing the exam in the first try. The study material was NOT overwhelmingly thrown together and I found the study program to be manageable and focused. Got me through the study period of about 4-5 weeks. I would recommend Solomon over the other courses.

Ajay A, CT, Series 24