Series 7: 17.5.3.1. Segregation Of Functions And Supervision

Taken from our Series 7 Online Guide

17.5.3.1. Segregation of Functions and Supervision

Segregating duties can reduce the risk of internal fraud and errors. One person should never handle all aspects of a transaction. FINRA recommends that firms segregate the front office from the back office (also called operations). In the front office, representatives work with customers. They make recommendations and take orders and try to help t

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