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The Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing
Members also downloaded the Broker-Dealer Quarterly Compliance Review Checklist
The Checklist allows the reviewer to conduct a series of monthly compliance reviews to determine and properly assess a firm’s level of compliance on a regular basis
including the net capital rule
The Anti-Money Laundering (AML) Preliminary Audit Questionnaire is typically submitted to broker-dealers to complete in advance of their upcoming AML independent testing requirements in accordance with FINRA Rule 3110
BD- Electronic Communications Policy Disclosure Statement NY Office of the Attorney General Library The Fingerprint Card Notification LetterThe 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
