IA- Non-Disclosure Agreement (NDA) for Nonpublic Personal Information Broker tracking and monitoring compliance with

tracking and monitoring compliance with its restricted securities in accordance with Rule 204A-1 under the Advisers Act and the Insider Trading and Securities Fraud Enforcement Act of 1988

The Investment Adviser Restricted Securities List serves as an important tool for recording

The Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing

The updated Broker-Dealer Best Execution Review Checklist is a useful tool and guide when meeting the requirements for conducting regular and rigorous reviews as part of a broker-dealer’s obligation to obtain best execution when handling customer orders

officers and employees be fingerprinted and shall submit

IA- Non-Disclosure Agreement (NDA) for Nonpublic Personal Information Broker tracking and monitoring compliance withThe Investment Adviser Non Disclosure Agreement ("NDA") for Nonpublic Personal Information serves as an important part of an investment adviser's overall compliance and privacy program in accordance with SEC Rule 206(4) 7, Regulation S P and or similar state requirements. When working with third party service providers, investment adviser firms must safeguard its customer information and ensure confidentiality. This NDA helps firms establish standard