Series 52: 8.3.5. Review Of Correspondence

Taken from our Series 52 Top Off Online Guide

8.3.5. Review of Correspondence

Each dealer must establish written procedures for the review and endorsement by a registered principal of all its transactions. Procedures must also be written for the review by a registered principal of all incoming and outgoing written and electronic public correspondence by the firm’s registered representatives when that correspondence relates to the investment banking or securities business line.

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