Series 3: 7.3.6.2. Written Procedures And Recordkeeping

Taken from our Series 3

7.3.6.2. Written Procedures and Recordkeeping

Every NFA member firm must adopt and enforce written procedures to supervise its associated persons and employees for compliance with the communications requirements.

Prior to its first use, all promotional material must be reviewed and approved in writing by an officer, branch office manager, or other supervisory employee other than the individual who prepared the materia

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