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Compliance Checklist - Supervisory Control Amendments
Broker-Dealer Regulation (Second Edition)
Book Publication Date:
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
Other Document Templates, Checklists
PLI Item #:
Corporate & Securities
"Compliance Checklist - Supervisory Control Amendments"
books and records
broker-dealer compliance programs
testing and verification
supervision of producing managers
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