Series 99: 3.4.3 Written Supervisory Procedures (WSPs)

Taken from our Series 99 Top-off Online Guide

3.4.3 Written Supervisory Procedures (WSPs)

Recall that 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, registration status, and locations of all its supervisory personnel and their responsibilities. They must also maintain on record the date that all supervis

+ Read More

More Series 99 Info

What are people saying?

Create an Account

Since you're reading about Series 99: 3.4.3 Written Supervisory Procedures (WSPs), you might also be interested in:

Series 65 - Capital Structure and Liquidation Priority

Series 7 - 7.1.6. Suitability of DPPs

Series 3 - 1.3.5. Basic Trading Strategies

Series 7 - 10.4.3.3 Tax Considerations

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my exam! The Solomon practice tests were equal or hard than the Series 99 questions which helped me crush it! Solomon was a 10/10 experience and I will definitely recommend it to any friends and work peers. It was lifechanging.

Alyssia Simpson. Denver, CO.

For the Series 99 I bought and studied the STC and the Kaplan study manuals and test banks but I pattern matching questions versus fundamentally understanding the content. I stumbled upon the Solomon test bank during a Google search and I am glad that I did. The Solomon test bank went into a lot more detail in the answers which allowed me to better understand the actual content versus just pattern recognition in the questions. Some have said that the Solomon test bank is harder than the test which I think may be true but learning the content at this level of detail is how I was able to feel confident walking in and walking out with a pass on the first attempt.

Garry Kindred Denver, CO

I studied for both the SIE and the Series 99 with Solomon. Both texts more than prepared me for the exam. The practice questions in particular were extremely helpful and were even a bit more challenging than the actual exams. After reading and annotating both textbooks twice and taking each quiz multiple times to the point that I received high scores on each, I was confident taking the exam. Although there were a few questions here and there on the exams that seemed to be outside the scope of the material and had some differently worded questions, the quiz questions were quite in line with the actual exam. I passed both exams my first try. I highly recommend Solomon study material.

Eric Cunningham PNC Pittsburgh, PA

Love Solomon, I tried other companies and the ones I used didn't prepare me. Solomon teaches you the concepts and the practice tests helped me pass my Series 65, 63, and the 6 on my first try. I've had no less than four of my friends use Solomon and they have all had similar success. Work hard with the correct study material and you will have success.

Gerald Barnes, Client One, Peoria, AZ

Excellent exam preparation! Passed on my 1st attempt! SIE EXAM DO LOTS OF PRACTICE EXAMS, AND FLASHCARDS. I found the real exam question easier than the Solomon's ones. Thank you!

Gil Malamut, Prudential. New York, NY

I really would like to thank Solomon Exam Prep for helping me pass my Series 63 exam this past Friday! The website is easy to understand and I passed on the first time using their study guide!

Stephanie Oliver, MSRS, Minneapolis, MN