IA- Sample Resignation Letter with Form U5 Request NY Office of the Attorney General Library or issuers of securities to

or issuers of securities to terminate the registration of an individual in the appropriate jurisdictions and/or self-regulatory organizations ("SROs")

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

Members also downloaded Investment Adviser Code of Ethics or Investment Adviser Rep Annual Compliance Certification

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

investment adviser firms must safeguard its customer information and ensure confidentiality

IA- Sample Resignation Letter with Form U5 Request NY Office of the Attorney General Library or issuers of securities toThe Investment Adviser Sample Resignation Letter serves as a useful template for formal notification regarding the resignation and voluntary termination of an advisory representative and the corresponding request for a copy of his her full Form U5 filing upon termination. The Form U5 (Uniform Termination Notice for Securities Industry Registration) is used by broker dealers, investment advisers, or issuers of securities to terminate the registration