March 22, 1991
TO: COMPLIANCE COMMITTEE NO. 3-91
RE: SAMPLE WRITTEN SUPERVISORY PROCEDURES
__________________________________________________________
As we mentioned at the last Compliance Committee meeting,
we are distributing copies of sample written supervisory
procedures, which are required by the NASD. The attached copies
were provided by members of the Committee. References to the
firm's name or names of employees have been deleted. If you have
any questions concerning any of the attached documents, please
contact me at 202/955-3523.
Amy B.R. Lancellotta
Assistant General Counsel
Attachment