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").
electronic messages (email, instant messages, etc.) Correspondence Review Firm Supervision and Oversight Firm Supervision and Oversight Firm Supervision and Oversight Firm Supervision and Oversight Employee Supervision Employee Supervision Exception Report Utilization February 2016 Page 10 of 81. WSP Checklist
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