BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser The New Account Client Profile

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

The 2019 Investment Adviser Annual Compliance Calendar Update serves as a valuable resource guide when preparing

The Broker-Dealer Quarterly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker-dealer’s supervisory obligations under FINRA Rule 3110(a)

planning and updating your annual compliance program

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

BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser The New Account Client ProfileThe 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