Series 82: 2.1.4.8. Review Of Transactions And Correspondence

Taken from our Series 82 Online Guide

2.1.4.8. Review of Transactions and Correspondence

WSPs must describe the procedure for how registered principals will review and endorse all transactions. WSPs must also describe how a principal will review all incoming and outgoing written and electronic public correspondence by the firm’s registered representatives. Only correspondence relating to the investment banking or securities business needs to be reviewed.

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