Performance & Stability
        
        How Do Regulators Test the Effectiveness of a Broker-Dealer’s Possession or Control Procedures during an Examination?
        
         
        
        
          
        
        
      
        
     
        
        Regulators test a broker-dealer's possession or control procedures through a risk-based examination of its systems, controls, and records.

 
  
  
  
  
 