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Red Oak Blog

News that affects your business and ours.
 
Tuesday, February 23 2016

FINRA Updates Written Supervisory Checklist

FINRA updated their Written Supervisory Procedures Checklist this month. This update can be downloaded from the “Written Supervisory Procedures Checklist” link located at the bottom left of the FINRA link here: http://www.finra.org/industry/tools.  Remember to check this against your old version and update your WSPs accordingly.