Series 53: 2.3.6. Availability Of Written Procedures

Taken from our Series 53 Online Guide

2.3.6. Availability of Written Procedures

A copy of the written supervisory procedures must be kept in each OMSJ and at each location where supervisory activities are conducted. All dealers should update their procedures within a reasonable time after changes to the system or to MSRB rules occur. The dealer is responsible for communicating the procedures throughout the organization.

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