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IPO CERTIFICATION Account Name ___Date ___Account Number ___I. E. ___PLEASE COMPLETE BOTH SIDES FULLY, SIGN AND DATE ON THE REVERSE SIDE AND RETURN TO FELL AND COMPANY, 10900 WAYZATA BLVD, SUITE 200

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How to fill out written supervisory procedures

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Start by creating a detailed outline of the written supervisory procedures.

02

Include information on the firm's organizational structure, responsibilities of supervisors, and procedures for handling potential conflicts of interest.

03

Outline specific procedures for supervising registered representatives and associated persons.

04

Include guidelines for keeping accurate records and reporting any violations of rules and regulations.

05

Review and update the written supervisory procedures regularly to ensure they are up to date and compliant with current regulations.

Who needs written supervisory procedures?

01

Broker-dealers and their associated persons are required to have written supervisory procedures as per FINRA regulations.

02

Investment advisors and other financial institutions may also benefit from having written supervisory procedures to ensure compliance with regulations and best practices.

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What is written supervisory procedures?

Written supervisory procedures are written guidelines and policies that outline the rules and processes that a firm must follow to comply with regulatory requirements and maintain a strong compliance program.

Who is required to file written supervisory procedures?

Firms in the financial industry, such as investment advisers, broker-dealers, and other regulated entities, are required to file written supervisory procedures.

How to fill out written supervisory procedures?

To fill out written supervisory procedures, a firm should review regulatory requirements, internal policies, and best practices to create comprehensive guidelines that address all aspects of the firm's operations.

What is the purpose of written supervisory procedures?

The purpose of written supervisory procedures is to ensure that firms have clear guidelines in place to promote compliance with regulations, prevent misconduct, and protect investors.

What information must be reported on written supervisory procedures?

Written supervisory procedures must include information on the firm's policies and procedures for compliance, risk management, supervision, and internal controls, among other areas.

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