Series 99: 3.4.2 Supervisory Control System

Taken from our Series 99 Top-off Online Guide

3.4.2 Supervisory Control System

It is not enough to establish and document a supervisory system. The procedures within the system must also be enforced. FINRA requires each member to establish a system of written supervisory controls to ensure that a supervisory system is functioning as it should.

Written supervisory control procedures require the periodic review of customer accounts to prevent and detect irregularities and abuses. Procedures must be reasonably designed to prevent inspections from being compromised

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