Series 26: Chapter Six: Protecting Customer Accounts

Taken from our Series 26 Online Guide

Chapter Six

Protecting Customer Accounts

You will recall that member firms as part of their written procedures must conduct an annual review of their business to test their compliance with securities regulations. The inspection report must assess and document the member’s policies in these five areas:

• Supervision of supervisory personnel
• Maintaining books and records
• Safeguarding customer funds and securities
• Transmittals of funds
• Changes of customer account information

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