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Overview
The Broker-Dealer Written Supervisory Procedures Checklist ("WSP Checklist") is an outline of selected key topics representative of the range of business activities typically proposed by applicants seeking approval to become FINRA members or to expand their existing securities business under FINRA Membership and Registration Rules.
As part of the new member application
FINRA has updated the ORF API Specification. The value of “ETN” – Exchange Traded Note has been added to Appendix C in the specification.
Please email FINRA Product Management or call (866) 899-2107 if you have any questions regarding this notice.