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In accordance with SEC Rule 17f-2 (Fingerprinting of securities industry personnel)
2/September 27
a broker-dealer firm shall require that each of its partners
2/October 3
BD- Written Supervisory Procedure (WSP) Attestation NY Office of the Attorney General Library In accordance with SEC RuleThe Written Supervisory Procedure (WSP) Attestation is a useful certification as part of a broker dealers requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. The Attestation is used for registered, non registered covered persons and or associated persons who conduct broker
US$ 12.00
US$ 12.00
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US$ 10.00
US$ 179.00
