Series 82: 2.1.4.6. Written Supervisory Procedures

Taken from our Series 82 Online Guide

2.1.4.6. Written Supervisory Procedures

The written supervisory procedures document the supervisory system and instruct the supervisor as to how those responsibilities must be performed.

The member firm’s WSPs must record the names, titles, registration status, and locations of all its supervisory personnel and their responsibilities. They must also maintain on record the date that all supervisory personnel

+ Read More

More Series 82 Info

What are people saying?

Create an Account

Since you're reading about Series 82: 2.1.4.6. Written Supervisory Procedures, you might also be interested in:

Series 26 - Payments to Unregistered Persons

Series 65 - 2.14.1 Eurobonds and Eurodollar Bonds

Series 54 - Underwriter Exclusion

Series 66 - 1.1.1.1 Gross Profit

Series 26 - Function Three: Oversees Compliance and Business Processes of the Broker-Dealer and Its Offices

Series 79 - Chapter 12

Series 6 - 7.1.2.6. Currency Risk

SIE - Municipal Bonds

Series 65 - Regulation of Investment Adviser Representatives

SIE - 8.1.2. “Know Your Customer” Rule

Series 24 - Registration Requirements

Series 51 - Limits on Accounts of Employees of Other Municipal Securities Dealers

Series 27 - Extending Credit and Regulation T

Series 99 - 3.4.2.1 Internal Inspections and Annual Compliance Meetings

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The Solomon Exam Prep materials for the Series 82 were great. I felt very well prepared for the exam. I only studied for one full week (probably about 40 hours) and completed the exam in 30 minutes and passed! Thrilled with the results.

Jessica Kates, Carnegie Growth Partners LLC. Philadelphia, PA

Passed my Series 82 comfortably with the Solomon Prep. Only studied for three weeks. Craig and team are very responsive. WOULD HIGHLY RECOMMEND over other exam prep.

Bryan Frinhani, Energy Financial Services. Norwalk, CT

After a lengthy absence from the securities industry, I again needed to get licensed. With the great help of Solomon, I did the SIE, Series 7, Series 63, and Series 82, in just over 5 months. The materials are comprehensive and I would recommend reading it all at least twice. Have realistic goals and meet them. Don't take too many days off as the quicker you learn the material the less likely your are to forget the initial stuff. I found the "Ask the Professor" feature to be particularly helpful (and responsive!). I hope I don't need further exams any time soon but, if I do, I will use Solomon.

Shawn Sullivan Charlestowne Securities Darien, CT

I just passed the 82 on my first attempt. The study guide and unlimited practice study exams are priceless. I took full practice exams until I was scoring in the 90's and I'm glad I did. The questions on the actual exam were more difficult than any of my practice exams but I was able to think through them and apparently answer enough questions correctly. I truly wouldn't have passed this exam without all of the practice exams Solomon offered.

Adam Drewry, Parsonex Securities. Denver, CO

Dear Solomon Exam Prep, Thank you for your great exam prep materials for the Series 82 Top-Off Exam...I recently took it and passed.

Mordechai Slovin, Palladium Capital Advisors, Israel

I found the (Series 82) material from Solomon superior to the other major providers of these types of study guides. The online testing was also quite good and I loved the range of options (half tests, half tests with answers, full tests, etc.). Starting with half test with answers and working my way to full tests without answers built my confidence. Also, their customer service is second to none. If I had a question about the test, my email was answered within the day, as opposed to most companies, which is never. Thanks so much!

Jackson Stith, SyndiGate Capital. Miami, FL