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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
The Broker-Dealer Quarterly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker-dealer’s supervisory obligations under FINRA Rule 3110(a)
The Training Packet also includes an attendance sheet and an annual compliance certification with thirteen separate sections for registered and associated persons to complete as documentary evidence of completion
The BCP also includes a compliance attestation
Due Diligence Checklist for Third-Party Vendors
BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser The List includes sections forThe 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
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