Series 82: 2.1.4.6. Written Supervisory Procedures

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