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| The WSP Update Supplement for Mid-year 2009 (released July 2009) addresses sections that you will need to review and adjust to your firm’s specific procedures. Follow the instructions to copy and paste while paying particular attention to language that you may have already customized in your existing Written Supervisory Procedures manual. As a part of NASD Rule 3012 and FINRA Rule 3130 pertaining to testing and verification of your firm’s procedures, Regulatory Compliance strongly urges you to take this opportunity to review your WSP to ascertain if all procedures are accurately reflected in the manual or if adjustments should be made. Please be aware that any reference to “Firm Name” needs to be replaced with your company name. Also, any tables that you are instructed to replace will need to be updated with the appropriate supervisory principal’s name. |
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