Practical Implications of FINRA’s New Supervisory Rules
- What’s the Important Take-Away? “Document, Document, Document”
- Important Details for Updating Your Written Supervisory Procedures
- Supervision of OSJs: Planning, Training
- What Does Physical Presence on a Regular and Routine Basis Mean?
- Things to Think About: Conflicts (Supervisory Relationships, Compensation, Employment)
- Communications Review
- New Reporting Requirements for Large Firms
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