Pay in 4 interest-free payments of $53.12 Learn more
Ships within 48 hours · Estimated delivery Aug 6 - Aug 11
The updated Broker-Dealer List of Books and Records & Retention Requirements serves as useful guide in determining the specific types of books and records required of broker-dealers as well as the timeline in which each record must be maintained in accordance with SEC Rule 17a-3 & 17a-4
The 2019 Investment Adviser Annual Compliance Calendar Update serves as a valuable resource guide when preparing
officers and employees be fingerprinted and shall submit
The New Account Client Profile form collects information about an advisory client
The List includes sections for recording information for each restricted security to include the appropriate code/reason for restriction type and a signed acknowledgement section
BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser The updated Broker-Dealer List ofThe Small Firm Broker Dealer Annual Compliance Meeting & Training Packet serves as a ready made template to help small firms meet the requirements under FINRA Rule 3110(a)(7). The Training Packet includes twenty seven separate operations and compliance related topics to address select regulatory focal points and updates often highlighted during regulatory examinations and emphasized in each years FINRA Regulatory and Examination Priorities Letter. The
