Series 14: 5.1.6.4.1. NYSE And FINRA’s Joint Regulatory Sales Practice Sweep Report

Taken from our Series 14 Online Guide

5.1.6.4.1. NYSE and FINRA’s Joint Regulatory Sales Practice Sweep Report

In 1996, the NYSE in conjunction with NASD (now FINRA) issued the Joint Regulatory Sales Practice Sweep Report. The report recommended that firms should follow several recommended practices when it comes to supervision of employees. These practices include:

• Adopting stringent procedures for hiring registered representatives

• Initiating heightened supervisory procedures for registered representatives with a history of customer complaints, disciplinary actions, or arbitrations

• Ensuring compliance with telemarketing requirements (these requirements are discussed in Chapter 9)

The repor

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