Series 7: 13.3.3. Written Supervisory Procedures

13.3.3. Written Supervisory Procedures

The supervisory system that determines how the responsibility for regulatory compliance is shared within the member firm is documented in the written supervisory procedures and serves to instruct the supervisor as to how those responsibilities must be performed.

The member firm’s written supervisory procedures 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 supervisory personnel were assigned their duties.

In additi