Our Broker-Dealer Written Supervisory Procedures (WSP) Annual Subscription Updates are designed to keep broker-dealers informed and updated on material changes to the regulatory landscape that may impact their business. Our one-time fee for Annual Updates covers new SEC & FINRA rules, as well as updates to existing rules and regulatory notices with corresponding sample language on supervisory review processes where applicable. All subscribers to our updates post purchase will receive a unique code for downloading updates via our WSP Library which are provided in Word tracked changes format for easy identification of updates and to make any additional customized edits as appropriate.

Version/Update: V.U/January 1- December 31, 2025

Total Page Count/Format: varies (per update)/.docx

Source/Author(s): Connexien