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The customizable List is an instrumental part of a broker-dealer’s books and records and includes twenty-eight separate columns/sections for recording customer account information as well as addressing certain regulatory focal points often highlighted during the FINRA broker-dealer examination process
(See Brad Callen's Library for additional resources)
and viewed our WSP Library
investment adviser firms must safeguard its customer information and ensure confidentiality
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BD- 2022 State Requirements for Annual Audited Financial Statements NY Office of the Attorney General Library The customizable List is anThe 2022 State Requirements for Broker Dealer Annual Audited Financial Statements list is intended to keep broker dealers and their accounting firms informed of updated financial reporting requirements and to be used as a guide when preparing and submitting annual audited financial statements to state regulatory agencies. The information in the 2022 State Requirements List is categorized by state and includes each state regulatory agencys mailing
