Broker-Dealer Manuals

Comprehensive Supervisory Procedures to Fit Your Broker-Dealer

The NCS Regulatory Compliance written supervisory procedures (WSP) manual can be fully customized to match your firm’s policies and procedures and comply with FINRA regulatory requirements. The supervisory procedures manual addresses compliance functions of your firm, as well as registered representative requirements and assignments. A supervisory forms package is also available for customization.

Broker-Dealer manual: easy to use and understand

The broker-dealer manual can be customized or purchased in template format. The sections are written in plain English by our senior compliance consultants, who have decades of experience in the financial services industry, and are designed to meet the requirements under Rule 3010. Some sections include:

  • Supervisory personnel
  • Standards of supervision
  • Licensing, registration, and documentation
  • Registered representative conduct, including outside business activities
  • Customer relations
  • Reporting requirements
  • Customer accounts, new accounts
  • Transactions
  • Communications with the public
  • Trade desk
  • Custody and clearing arrangements
  • Investment banking, public/private offerings and resales
  • Investment product descriptions:
    • Mutual funds
    • Variable product
    • Direct participation programs and unlisted REITs
    • Municipal securities
    • Options
    • Fixed income securities
    • Limited partnerships, hedge funds
    • Security futures
    • Complex and non-conventional investments
    • Cash alternatives
    • Retail forex
    • Private equity funds – primary placement
    • Secondary market transactions in limited partnerships
  • Recordkeeping and reporting
  • Investment adviser supervision
  • Outsourcing
  • Many more broker-dealer supervisory procedures

Our broker-dealer compliance policies and procedures manual is not intended to be an operations manual and does not constitute legal advice; however, it is intended to give a general understanding of the regulatory rules and requirements that apply to your firm and provide a framework for ensuring that your firm’s processes are documented and comply with regulatory requirements.

In addition to a supervisory compliance manual, we offer services to test your procedures. For more information about our template compliance manual product or a fully customized broker-dealer supervisory procedures manual, please click here, call us at (800) 800-3204 or email us at info@ncsregcomp.com.