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as well as provide information on market holidays and events that may affect investment adviser business operations
non-public information
Members also downloaded Investment Adviser Statement of Periodic Testing of BCP & Regulation S-P
or cause to be submitted
Version/Update: V
BD- Broker-Dealer Quarterly Compliance Review Checklist Broker as well as provide informationThe Broker Dealer Quarterly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker dealers supervisory obligations under FINRA Rule 3110(a). The Quarterly Checklist allows the reviewer to conduct a series of quarterly compliance reviews to determine and properly assess a firms level of compliance on a regular basis. Information captured on the Checklist includes eighteen (18) separate areas of risk and compliance
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