2023 State Reqs. for Broker-Dealer Annual Audited Financial Statements Investment Adviser The Broker-Dealer Written Supervisory Procedures

The Broker-Dealer Written Supervisory Procedures Section on DPPs serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110

regulatory requirements and reporting obligations on a periodic basis

along with the corresponding investment advisory contract and other accompanying or supplemental documents

The Compliance Certification for Non-Registered Covered Persons is a useful certification as part of a broker-dealer’s 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

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2023 State Reqs. for Broker-Dealer Annual Audited Financial Statements Investment Adviser The Broker-Dealer Written Supervisory ProceduresThe 2023 State Requirements for Broker Dealer Annual Audited Financial Statements list is intended to keep broker dealers and their accounting firms informed of updated financial reporting requirements and to be used as a guide when preparing and submitting annual audited financial statements to state regulatory agencies. The information in the 2023 State Requirements List is categorized by state and includes each state regulatory agencys mailing