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Broker-Dealer Compliance Manual Exhibit 1.01-Sup. & Reg. Personnel
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Broker-Dealer Compliance Manual Exhibit 1.01-Sup. & Reg. Personnel
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Broker-Dealer Compliance Manual Exhibit 1.01-Sup. & Reg. PersonnelThe List of Supervisory and Registered Personnel Exhibit serves as an important part of a broker dealers overall compliance program in accordance with FINRA Rule 3110 (Supervision). The List allows for a broker dealer firm to detail a current list of the names, registrations, and effective dates of supervisory and registered investment advisory personnel who are affiliated with the Firm to include direct and indirect reports regarding supervisory
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The List of Supervisory and Registered Personnel Exhibit serves as an important part of a broker-dealer’s overall compliance program in accordance with FINRA Rule 3110 (Supervision). The List allows for a broker-dealer firm to detail a current list of the names, registrations, and effective dates of supervisory and registered investment advisory personnel who are affiliated with the Firm to include direct and indirect reports regarding supervisory responsibilities and oversight. Members also viewed our WSP Library.
Version/Update: V.2-03152023
Total Page Count/Format: 2/.docx
Source/Author(s): Connexien
Broker-Dealer Compliance Manual Exhibit 1.01-Sup. & Reg. Personnel
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