BD- 2022 State Requirements for Annual Audited Financial Statements NY Office of the Attorney General Library investment adviser firms must safeguard

investment adviser firms must safeguard its customer information and ensure confidentiality

3/ July 15

The customizable List is an instrumental part of a broker-dealer’s books and records and includes twenty-eight separate columns/sections for recording customer account information as well as addressing certain regulatory focal points often highlighted during the FINRA broker-dealer examination process

The Records Request List is designed to customize the list of broker-dealer books & records (including updates for Reg BI/Form CRS) to be provided for review both before and during the onsite portion of the compliance inspection

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

BD- 2022 State Requirements for Annual Audited Financial Statements NY Office of the Attorney General Library investment adviser firms must safeguardThe 2022 State Requirements for Broker Dealer Annual Audited Financial Statements list is intended to keep broker dealers and their accounting firms informed of updated financial reporting requirements and to be used as a guide when preparing and submitting annual audited financial statements to state regulatory agencies. The information in the 2022 State Requirements List is categorized by state and includes each state regulatory agencys mailing