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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
Members also downloaded the OSJ Branch Preliminary Audit Questionnaire (PAQ) and OSJ Branch Audit Review Template
Form Z-17A-5
The Form U5 (Uniform Termination Notice for Securities Industry Registration) is used by broker-dealers
The rules require firms to establish
2024 Investment Adviser Annual Compliance Calendar Investment Adviser The updated Broker-Dealer List ofThe 2024 Investment Adviser Annual Compliance Calendar serves as a valuable resource guide when preparing, planning and updating your annual compliance program. The Annual Compliance Calendar is intended to keep investment advisers informed of date specific and event driven compliance reporting requirements, filing deadlines and rule references, as well as provide information on market holidays and industry events that may affect investment adviser
US$ 130.00
US$ 2497.50
US$ 197.50
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