Transcription of Written Supervisory Procedures
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Written Supervisory Procedures
Written Supervisory Procedures Issue Date: 12/19/2016 ii Introduction Feltl and Company, ( F&C ) is subject to the rules and guidelines issued by FINRA, due to the membership maintained in order to service customers in the Securities industry. Each member shall establish and maintain a system to supervise the activities of each registered representative, employee, and 5%+ Member/Owner ( associated person ) of F&C that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with the rules of FINRA. Final responsibility for proper supervision shall rest with the member. FINRA Rule 3110 requires members to establish, maintain and enforce Written Procedures that will enable it to supervise its associated persons. In general, there should be sufficient detail to enable those with Supervisory responsibilities to understand their obligations.
ii Introduction . Feltl and Company, (“F&C”) is subject to the rules and guidelines issued by FINRA, due to the membership maintained in order to service customers in the Securities industry.
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