Transcription of Written Supervisory Procedures Review Checklist
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Written Supervisory Procedures Review Checklist
WSP ChecklistWritten Supervisory Procedures Review ChecklistThe Written Supervisory Procedures Checklist ("WSP Checklist ") is an outline of selected key topics representative of the range of business activities typically proposed by applicants seeking approval to become finra members or to expand their existing securities business under NASD Membership and Registration Rules (Note - Though part of the current finra Manual, these rules have not yet been consolidated, please see for more information).As part of the application process, applicants are required to submit a completed WSP Checklist , together with a copy of their Written Supervisory Procedures ("WSPs").
Meeting B. Continuing Education FINRA By-Laws, Art. III, Sec. 2; NASD Rule 1070 - Qualification Exams and Waiver of Requirements; MSRB Rule G-2 - Standards of Professional Qualification; MSRB Rule G-3 - Professional Qualification Requirements; NASD Rules 1021 and 1031 - Registration Requirements; NASD Rule 1022 - Categories of Principal ...
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