BD- Written Supervisory Procedure (WSP) Attestation NY Office of the Attorney General Library 2/September 27

2/September 27

2/September 26

or cause to be submitted

The Investment Adviser Restricted Securities List serves as an important tool for recording

Members also downloaded Investment Adviser Code of Ethics or Investment Adviser Rep Annual Compliance Certification

BD- Written Supervisory Procedure (WSP) Attestation NY Office of the Attorney General Library 2/September 27The Written Supervisory Procedure (WSP) Attestation is a useful certification as part of a broker dealers requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. The Attestation is used for registered, non registered covered persons and or associated persons who conduct broker