SEC Registered Investment Adviser Compliance Manual- Standards of Conduct Resources The Broker-Dealer New Membership Application

The Broker-Dealer New Membership Application (NMA) Preparation & Filing Checklist is an important resource and time-saver for identifying

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Members also downloaded the Broker-Dealer Quarterly Compliance Review Checklist

and enforce procedures that are reasonably designed to prevent the misuse of non-public information and associated persons are strictly prohibited from trading on any information that could be considered material

filing and delivery requirements as well as sample language on each of the required sections as a guide for further customization

SEC Registered Investment Adviser Compliance Manual- Standards of Conduct Resources The Broker-Dealer New Membership ApplicationThe Investment Adviser Written Supervisory Procedures Section on Standards of Conduct serves as an important part of a SEC Registered investment adviser firms written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4) 7. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes ten (10) separate sections and exhibit list that help firms outline