Series 24: Member Supervisory Controls

Taken from our Series 24 Online Guide

Member Supervisory Controls

It is not enough to establish and document a supervisory system that dictates procedures to monitor a firm’s compliance with regulatory rules and regulations. The procedures must also be enforced. To ensure that a supervisory system is functioning as required and that written procedures are being scrupulously obeyed, FINRA requires that each member firm set in place a system of written supervisory

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