Compliance ?

Discussion in 'Prop Firms' started by GSXRIntensity, Mar 16, 2013.

  1. How often does a supervisor at a prop firm have to confirm written plans for compliance and general rules? Thanks
  2. Does nobody have a clue??
  3. It depends on your auditor.
  4. I would assume it depends on the SRO (CBOE or NYSE or whoever the firm is registered with). From what I remember from the S exams, it is typically either every year or every other year.
  5. Thanks for the feedback guys.