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In accordance with SEC Rule 17f-2 (Fingerprinting of securities industry personnel)
2/September 27
This NDA helps firms establish standard guidelines for ensuring that nonpublic personal information ("NPI") within the meaning of applicable privacy laws and regulations relating to customers of the firm or its affiliates is properly protected
non-registered covered persons and/or associated persons who conduct broker-dealer business activities to acknowledge receipt of and compliance with a broker-dealer’s current written supervisory procedures
BD- Broker-Dealer Monthly Compliance Review Checklist Investment Adviser In accordance with SEC RuleThe updated Broker Dealer Monthly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker dealers supervisory obligations under FINRA Rule 3110(a). The Checklist allows the reviewer to conduct a series of monthly compliance reviews to determine and properly assess a firms level of compliance on a regular basis. Information captured on the Checklist includes eighteen separate areas of risk and compliance to address
