Series 52: 8.3. Supervisory Responsibilities And Procedures

Taken from our Series 52 Top Off Online Guide

8.3. Supervisory Responsibilities and Procedures

Under MSRB Rule G-27, municipal broker-dealers are obligated to ensure that their firms and all employees comply with MSRB and SEC rules and all applicable laws. To achieve this result, firms must establish and maintain written procedures as a guide for employee behavior and establish a supervisory system to oversee their compliance.

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