BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser officers and employees be fingerprinted

officers and employees be fingerprinted and shall submit

The Training Packet also includes an attendance sheet and an annual compliance certification with thirteen separate sections for registered and associated persons to complete as documentary evidence of completion

The New Account Client Profile form collects information about an advisory client

The updated Broker-Dealer List of Books and Records & Retention Requirements serves as useful guide in determining the specific types of books and records required of broker-dealers as well as the timeline in which each record must be maintained in accordance with SEC Rule 17a-3 & 17a-4

BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser officers and employees be fingerprintedThe 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