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Compliance Checklist - Supervisory Control Amendments


Book Publication Date: Sep 2020
Description: Checklist written by Sutherland Asbill & Brennan LLP attorney Clifford E. Kirsch; a rundown of the major compliance steps that a firm needs to take as a result of t the NASD's Supervisory Control Amendments, which became effective on January 31, 2005
Type: Other Document Templates, Checklists
PLI Item #: 41015
Practice Area: Broker-dealers, Investment fund management, Practice skills (Securities and other financial products), Regulation and compliance (Securities and other financial products), Securities and other financial products, Securities filings and financial statements

Keywords: "Compliance Checklist - Supervisory Control Amendments"; NASD; NYSE; inspection procedures; books and records; broker-dealer compliance programs; testing and verification; supervision of producing managers; OSJ; supervisory branch; discretionary accounts

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