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

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