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Members also downloaded the Broker-Dealer Quarterly Compliance Review Checklist
The Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing
Members also downloaded Investment Adviser Small Firm Cybersecurity Program
and the reporting and record-keeping requirements under SEC Rule 17a-3 and 17a-4 and as described in Notice to Members 03-63
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BD- Electronic Communications Policy Disclosure Statement NY Office of the Attorney General Library Members also downloaded the Broker-DealerThe Broker Dealer Electronic Communications Policy Disclosure Statement is typically used as part of a broker dealers periodic compliance certification process with its registered and associated personnel. As the obligations to supervise electronic communications are based largely on the content and audience of the message rather than the electronic form of the communication, the Electronic Communications Policy Disclosure Statement is designed to
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