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Total Page Count/Format: varies (per update)/
8/September 17
The ESA Template allows for broker-dealers to customize the terms and conditions and specific amounts and % allocations of its costs-sharing arrangements and memorialize such arrangements in accordance with books and records requirements
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
The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes eleven (11) separate sections and exhibit list that help firms outline effective supervisory processes that can be further customized to align with their specific business model
BD- Broker-Dealer Verification of Customer Address Change Notice Investment Adviser Total Page Count/Format: varies (perThe Broker Dealer Verification of Customer Address Change Notice serves as an important part of a firms overall compliance program by meeting certain requirements under FINRA Rule 3110(C)(2)(A)(v) regarding changes of customer account information, including address and investment objectives changes and validation of such changes. The customizable Notice allows firms to memorialize and document their notification processes regarding customer address
