BD- Broker-Dealer Monthly Compliance Review Checklist Investment Adviser The Compliance Certification for Non-Registered

The Compliance Certification for Non-Registered Covered Persons is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations

CRD number and fingerprint barcode reference number of the person fingerprinted

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The Checklist assists broker-dealers in documenting and testing the range and quality of execution services and whether the Firm used reasonable diligence to ascertain the best market for the subject security and buy or sell in such market so that the resultant price to the customer is as favorable as possible under prevailing market conditions

The Outside Business Activities (OBA) Disclosure Statement serves as an important part of an investment adviser’s overall compliance program by meeting certain disclosure and reporting requirements under SEC Rule 206(4)-7 and Rule 204A-1 and/or similar state requirements

BD- Broker-Dealer Monthly Compliance Review Checklist Investment Adviser The Compliance Certification for Non-RegisteredThe updated Broker Dealer Monthly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker dealers supervisory obligations under FINRA Rule 3110(a). The Checklist allows the reviewer to conduct a series of monthly compliance reviews to determine and properly assess a firms level of compliance on a regular basis. Information captured on the Checklist includes eighteen separate areas of risk and compliance to address