FINRA Rule 3110(b)(7): Maintenance of Written Supervisory Procedures

FINRA Rule 3110(b)(7) requires a firm to retain and maintain copy of the firm’s written supervisory procedures at each office of supervisory jurisdiction (OSJ) and each location where supervisory activity is conducted on behalf of the firm.

This Rule, in addition to FINRA Rule 3110.11 “reflect FINRA’s continued belief that it is important for all associated persons to have knowledge of the supervisory procedures relevant to their activities.”

Link to Rule: http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=11345
Helpful Link: http://finra.complinet.com/en/display/display.html?rbid=2403&element_id=11470