BD- Broker-Dealer Expense Sharing Agreement (ESA) Template Investment Adviser The Checklist assists broker-dealers in

The Checklist assists broker-dealers in documenting and testing the range and quality of execution services and whether the Firm used reasonable diligence to ascertain the best market for the subject security and buy or sell in such market so that the resultant price to the customer is as favorable as possible under prevailing market conditions

8/September 17

Members also downloaded Investment Adviser Rep Annual Compliance Certification

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

Members also downloaded the Broker-Dealer Quarterly Compliance Review Checklist

BD- Broker-Dealer Expense Sharing Agreement (ESA) Template Investment Adviser The Checklist assists broker-dealers inThe Broker Dealer Expense Sharing Agreement (ESA) Template is a useful tool for evidencing compliance with the financial responsibility rules relating to cost sharing, including the net capital rule, and the reporting and record keeping requirements under SEC Rule 17a 3 and 17a 4 and as described in Notice to Members 03 63. The ESA Template allows for broker dealers to customize the terms and conditions and specific amounts and % allocations of its