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Members also downloaded Broker-Dealer Quarterly Compliance Review Checklist and Broker-Dealer Monthly CRD Forms & Filings Review Checklist
The Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing
The Investment Adviser Restricted Securities List serves as an important tool for recording
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and the reporting and record-keeping requirements under SEC Rule 17a-3 and 17a-4 and as described in Notice to Members 03-63
IA- Non-Disclosure Agreement (NDA) for Nonpublic Personal Information Broker Members also downloaded Broker-Dealer QuarterlyThe Investment Adviser Non Disclosure Agreement ("NDA") for Nonpublic Personal Information serves as an important part of an investment adviser's overall compliance and privacy program in accordance with SEC Rule 206(4) 7, Regulation S P and or similar state requirements. When working with third party service providers, investment adviser firms must safeguard its customer information and ensure confidentiality. This NDA helps firms establish standard
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