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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 List includes sections for recording information for each restricted security to include the appropriate code/reason for restriction type and a signed acknowledgement section
non-registered covered persons and/or associated persons who conduct broker-dealer business activities to acknowledge receipt of and compliance with a broker-dealer’s current written supervisory procedures
The New Account Client Profile form collects information about an advisory client
Source/Author(s): Connexien
BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser The Broker-Dealer Quarterly Compliance ReviewThe 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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