Description

A focused course, tailored for you

The Brokerage Legal Specialist's Supervisory and Marketing Review Playbook

Connect Reg BI documentation, FINRA 3110 supervisory mapping, marketing review logs, and vendor due diligence into one defensible artefact set.

Reg BI documentation, FINRA 3110 supervisory queues, marketing review logs, and vendor due diligence do not arrive in separate weeks. They arrive in the same inbox, with no shared index, and nobody hands a Senior Legal Specialist the connective tissue.

$199 one-time

Tailored to your situation. Access within 24 hours. 30-day money-back.

Includes a hand-built implementation playbook delivered alongside course access, generated for your specific situation.

Why this course

A Senior Legal Specialist inside a US broker-dealer carries a load most outsiders never see. The supervisory procedures memo lands the same morning as the rollover comment letter from a customer who read about Reg BI in the press. The FINRA 3110 review queue backs up over a holiday week and the marketing communications pile waits for a principal sign-off that needs a legal eye first. The next cycle exam request lists artefacts in a different vocabulary than the WSP uses internally. The enforcement bulletin that changes how rollover documentation must read this quarter shows up at 5pm on a Friday. The work is not any single one of these. It is the index that ties them: a rollover comment letter cross-referenced against the WSP section it implicates, a marketing review log structured so the next exam request can be answered from it, a vendor due diligence file that legal sign-off can lean on without reopening the entire intake. Nobody writes that index in law school and nobody hands it down inside the firm. Senior Legal Specialists build it themselves, late, in fragments. This course is that index, laid out as twelve modules and twelve sets of downloadable templates, with the hand-built implementation playbook fit to the recipient's product line on top.

What you walk away with

A WSP-to-marketing-log cross-reference index that maps every supervisory procedure to the marketing artefacts it governs.
A Reg BI rollover documentation packet structured so a cycle exam request can be answered from the file directly.
A FINRA 3110 review log format that survives an enforcement-driven look-back.
A vendor due diligence file template that legal sign-off can endorse without reopening the intake.
An enforcement-bulletin-to-WSP-rewrite workflow that turns each new bulletin into a tracked supervisory edit.

The 12 modules

Module 1. The Senior Legal Specialist's artefact map

The opening module lays out every artefact a Senior Legal Specialist inside a US broker-dealer is accountable for: the WSP and its annexes, Reg BI documentation packets, FINRA 3110 review logs, marketing communications review records, vendor due diligence files, the supervisory procedures memo, and the cycle exam response file. Each artefact is mapped to the regulator that asks for it, the internal owner who drafts it, and the deadline cadence it lives on. The downloadable template is a one-page artefact register the specialist can keep at hand.

Module 2. Reg BI rollover documentation packets

Module two walks through the rollover scenario end to end: customer-initiated rollover, advisor-initiated rollover, plan-to-IRA, IRA-to-IRA, and the documentation each one requires under Reg BI. Includes the fact-finding memo, the best-interest analysis, the comparative cost worksheet, and the customer acknowledgement. The artefacts are structured so that when a cycle exam asks for the rollover file, the specialist hands over one packet rather than six emails. Templates are provided for each artefact.

Module 3. FINRA 3110 supervisory mapping

FINRA 3110 sets the supervisory duty. This module maps each subparagraph of 3110 to the internal procedure that satisfies it, the evidence that proves the procedure ran, and the gap where the firm currently relies on informal supervision. The output is a supervisory matrix the specialist can hand to a new principal, drop into the cycle exam response, or use to brief outside counsel. Includes the supervisory matrix template and a worked example.

Module 4. Marketing communications review logs that survive an exam

Marketing review is where the cycle exam most often finds a gap. The module covers the review log format that captures every piece reviewed, the principal who approved it, the comments that were raised and how they were resolved, and the FINRA 2210 category each piece falls under. Includes a template for the log itself, a checklist for principal sign-off, and a worked example showing how a year of marketing review reads when an examiner opens the file.

Module 5. Vendor due diligence files for legal sign-off

Third-party vendors carry regulatory risk the broker-dealer absorbs. This module covers the vendor intake questionnaire, the financial-condition review, the information-security attestation, the data-processing agreement clauses legal needs to see, and the ongoing-monitoring cadence. The deliverable is a vendor due diligence file template that legal sign-off can endorse without reopening the whole intake. Includes a worked example for a market-data vendor and one for a customer-communications vendor.

Module 6. The WSP-to-artefact cross-reference index

The WSP is a long document and the artefacts it governs live in different systems. This module is the cross-reference index: every WSP section gets a row, every row names the artefact that proves the procedure ran, the owner who produces it, the system it lives in, and the retention period. The index is the connective tissue Senior Legal Specialists build in fragments. Module six gives them the finished template and walks through populating the first twenty rows.

Module 7. Cycle exam response packets

The FINRA cycle exam request lands with a list of artefacts. This module covers how to read the request, how to map each item to the artefact register, how to draft the cover letter that frames the response, how to handle the inevitable follow-up requests, and how to file the response so the next exam can lean on it. The deliverable is a cycle exam response packet template, a sample cover letter, and a worked example covering a typical mid-size broker-dealer cycle.

Module 8. Enforcement-bulletin-to-WSP-rewrite workflow

Enforcement actions and regulatory notices change what the WSP must say. This module turns that change into a workflow: monitoring sources, the bulletin-to-section impact memo, the WSP edit tracking log, the principal training cascade, and the artefact updates each edit triggers downstream. Includes the impact memo template and a worked example based on a recent FINRA priorities letter showing how a single bulletin propagates through four artefacts.

Module 9. Conflict-of-interest documentation and Form CRS

Reg BI and Form CRS demand disclosure of material conflicts. This module covers the conflict register, the mitigation log, the Form CRS narrative, and the customer-facing disclosures that flow from each conflict. Includes the conflict register template, a Form CRS narrative checklist, and a worked example covering proprietary product, third-party payments, and dual registration scenarios that a Senior Legal Specialist encounters routinely.

Module 10. Supervisory procedures memo writing

The supervisory procedures memo is how policy reaches the front line. This module covers structure (the procedural skeleton), substance (the regulatory citation and the operational instruction), evidence (what the supervisor must capture to prove the procedure ran), and escalation (the exception path). Includes a memo template, a worked example covering a rollover supervisory procedure, and a review checklist for the legal sign-off step.

Module 11. Recordkeeping under 17a-3 and 17a-4

SEC recordkeeping rules govern what must be retained and how. This module covers the records taxonomy, retention periods, WORM-storage requirements, the recordkeeping designation memo, and the audit trail an examiner expects. Includes a recordkeeping matrix template that maps each artefact in the register to its 17a-3 or 17a-4 citation, retention period, and storage location, plus a worked example for a mid-size broker-dealer's electronic communications retention.

Module 12. The Senior Legal Specialist's standing file

The final module assembles every prior artefact into a single standing file the Senior Legal Specialist keeps on the desk: artefact register, supervisory matrix, marketing review log, vendor due diligence index, WSP cross-reference, cycle exam response template, conflict register, recordkeeping matrix. Each gets a one-page front sheet showing status, last review date, and next action. The file is the muscle the specialist builds; the course leaves it built. Includes the standing file index template.

How this addresses your situation

Specific modules that map to what you said you are dealing with.

When the cycle exam request lands on the desk: modules 1, 6, 7 give the artefact map and the response packet shape.

When a rollover comment letter arrives from a customer who read about Reg BI: modules 2, 9, 10 cover documentation, conflicts, and the supervisory memo.

When marketing communications pile up waiting for legal sign-off: modules 4, 10 cover the review log and the principal sign-off step.

When a new enforcement bulletin lands at 5pm Friday: module 8 turns it into a tracked WSP edit and a cascade through the dependent artefacts.

What you get with this course

Twelve written modules in the Art of Service learning environment.
Downloadable templates for every artefact: artefact register, supervisory matrix, marketing review log, vendor due diligence file, WSP cross-reference index, cycle exam response packet, conflict register, supervisory procedures memo, recordkeeping matrix, standing file index.
Worked examples drawn from typical mid-size broker-dealer scenarios.
The hand-built implementation playbook tailored to the recipient's product mix and supervisory structure.

What you will have in hand by Day 1, Week 1, Month 1

Within 24 hours of purchase, the learning environment account is provisioned and the hand-built implementation playbook is delivered alongside it.

Modules can be worked in sequence over four weeks or used as a reference library when a specific artefact is needed.

Templates download immediately on first login.

Before and after

Before

Reg BI documentation, FINRA 3110 review logs, marketing review records, and vendor due diligence files live in different systems with no shared index. Each cycle exam request triggers a scramble to assemble artefacts from email threads. Each enforcement bulletin gets read, noted, and lost.

After

Every artefact has a register row. Every WSP section has a cross-reference to the artefact that proves it ran. Each cycle exam request gets answered from one packet. Each enforcement bulletin generates a tracked WSP edit and a documented cascade through the dependent artefacts.

What happens if you do not address this

The next cycle exam request lands and the artefact assembly takes three weeks of nights and weekends. A marketing review gap surfaces under examiner review and a principal cannot reconstruct the sign-off thread. An enforcement bulletin shifts what the WSP must say and the change does not propagate to the supervisory matrix or the principal training cascade. The Senior Legal Specialist absorbs the gap personally.

Who it is for

A Senior Legal Specialist or Associate inside a US broker-dealer, RIA, or wealth platform whose desk covers some combination of Reg BI, FINRA 3110 supervision, marketing communications review, vendor due diligence, and the WSP. Three to ten years in. Sits between Compliance and the business. Reads enforcement bulletins as they hit. Drafts the response to the cycle exam request. Owns the file that the next examiner will open.

Who this is NOT for. Not for outside counsel doing transactional broker-dealer work. Not for chief legal officers who run a team of specialists. Not for newly licensed lawyers in their first compliance rotation. The course assumes the recipient has shipped Reg BI documentation, sat in a FINRA 3110 review, and drafted at least one cycle exam response.

How it arrives

Text-based course in the Art of Service learning environment, plus downloadable templates and worked examples for every module, plus the hand-built implementation playbook delivered alongside course access.

Time investment. Roughly two to three hours per module if worked end to end. The reference-library mode (open one module when its artefact is needed) is faster.

Why $199 is the right number

FINRA and SEC guidance is free and authoritative but does not produce ready-to-use artefact templates. Outside counsel can draft supervisory memos at hourly rates that compound across the artefact set. Internal training rotations cover individual rules but rarely assemble the cross-reference index that ties artefacts together. This course is the assembled index plus the templates.

FAQ

Does this assume a specific business model (full-service broker, RIA, wealth platform)?

The core artefacts apply across broker-dealer business models. The hand-built implementation playbook is tuned to the recipient's product mix and supervisory structure based on the intake captured at purchase.

Is this a substitute for outside counsel?

No. The course is the artefact and workflow library. Outside counsel still advises on novel questions. The course reduces the volume of routine artefact assembly that ends up on outside counsel time.

How current is the regulatory content?

Reg BI, FINRA 3110, FINRA 2210, SEC 17a-3 and 17a-4, and Form CRS are the anchor citations. The implementation playbook reflects current enforcement priorities at the time of delivery.

What if my firm uses a different supervisory system or recordkeeping vendor?

Templates are vendor-neutral. The implementation playbook can be tuned to a specific supervisory system, recordkeeping vendor, or marketing review tool on request at intake.

30-day money-back guarantee. If after a week of working through the materials this is not what you needed, reply to the receipt email and a full refund is processed. No questions, no forms.

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.