Series 22: Review Of Transactions And Correspondence

Taken from our Series 22 Top-off Online Guide

Review of Transactions and Correspondence

Each member firm 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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