Broker-Dealer Compliance Manual Section 17- Direct Participation Programs (DPPs) Broker Previous year available at The

Previous year available at The 2022 State Requirements for Broker-Dealer Annual Audited Financial Statements

Members also downloaded Annual Report Form X-17A-5 Part III Facing Page

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

This NDA helps firms establish standard guidelines for ensuring that nonpublic personal information ("NPI") within the meaning of applicable privacy laws and regulations relating to customers of the firm or its affiliates is properly protected

2/April 19

Broker-Dealer Compliance Manual Section 17- Direct Participation Programs (DPPs) Broker Previous year available at TheThe Broker Dealer Written Supervisory Procedures Section on DPPs serves as an important part of a firms written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110. The WSP Section helps firms outline and implement effective supervisory processes regarding a firms DPP business. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes nine (9) separate