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.
F&C AND COMPANY Written Supervisory Procedures iii iii and supervisory employees, for failure to supervise adequately the actual wrongdoers.
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