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Alabama Securities Commission Library (8 products)
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Broker (561 products)
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819 of 823 products

Written Acknowledgement of Fiduciary Status under DOL PTE 2020-02

Written Acknowledgement of Fiduciary Status under DOL PTE 2020-02

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Connexien

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BD- Broker-Dealer Regulation Best Interest (Reg BI) & Form CRS Flow Chart

BD- Broker-Dealer Regulation Best Interest (Reg BI) & Form CRS Flow Chart

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Connexien

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BD- Hawaii Waiver Eligibility Cert. for Filing of Annual Report of Condition

BD- Hawaii Waiver Eligibility Cert. for Filing of Annual Report of Condition

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Connexien

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Top Securities and Exchange Commission (SEC) Exam Requests for Cybersecurity

Top Securities and Exchange Commission (SEC) Exam Requests for Cybersecurity

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Connexien

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IA- West Virginia Investment Adviser Branch Office Registration Form

IA- West Virginia Investment Adviser Branch Office Registration Form

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Connexien

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UT- Utah Uniform Consent to Service of Process Form U-2

UT- Utah Uniform Consent to Service of Process Form U-2

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Connexien

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PA- Pennsylvania Securities Registration Form-R

PA- Pennsylvania Securities Registration Form-R

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Connexien

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IA-Oregon Investment Adviser Representative – Salesperson Renewal Form

IA-Oregon Investment Adviser Representative – Salesperson Renewal Form

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Connexien

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ND- North Dakota Taxpayer Identification and Certification Form W-9

ND- North Dakota Taxpayer Identification and Certification Form W-9

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Connexien

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DE- Delaware Notice of Limited Offering Exemption Form-LOE

DE- Delaware Notice of Limited Offering Exemption Form-LOE

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Connexien

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IA- Massachusetts Criminal Offender Record Information (CORI) Acknowledgement Form

IA- Massachusetts Criminal Offender Record Information (CORI) Acknowledgement Form

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Connexien

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Virginia Broker-Dealer Agent Employed by More Than One BD

Virginia Broker-Dealer Agent Employed by More Than One BD

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Connexien

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FINRA Business Continuity Plan Template for Small Introducing Firms

FINRA Business Continuity Plan Template for Small Introducing Firms

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Connexien

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FINRA Broker-Dealer Small Firm Cybersecurity Checklist

FINRA Broker-Dealer Small Firm Cybersecurity Checklist

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Connexien

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BD- Small Firm Annual Compliance Meeting & Training Packet

BD- Small Firm Annual Compliance Meeting & Training Packet

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Connexien

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BD- Written Supervisory Procedure (WSP) Attestation

BD- Written Supervisory Procedure (WSP) Attestation

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Connexien

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BD- District of Columbia (DC) Broker-Dealer Clean Hands Form

BD- District of Columbia (DC) Broker-Dealer Clean Hands Form

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Connexien

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IA- Statement of Periodic Testing of BCP & Regulation S-P

IA- Statement of Periodic Testing of BCP & Regulation S-P

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Connexien

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IA- Due Diligence Checklist for Third-Party Service Providers

IA- Due Diligence Checklist for Third-Party Service Providers

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Connexien

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BD- Customer Verification of Account Information & Update Form (36-Month Mailer)

BD- Customer Verification of Account Information & Update Form (36-Month Mailer)

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Connexien

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2024 Broker-Dealer Annual Compliance Calendar

2024 Broker-Dealer Annual Compliance Calendar

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Connexien

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Broker-Dealer Reg BI (Care Obligation) Due Diligence Checklist

Broker-Dealer Reg BI (Care Obligation) Due Diligence Checklist

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Connexien

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BD- FINRA CAB Written Supervisory Procedures Checklist (PDF)

BD- FINRA CAB Written Supervisory Procedures Checklist (PDF)

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Connexien

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Options Disclosure- Characteristics and Risks of Standardized Options

Options Disclosure- Characteristics and Risks of Standardized Options

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Connexien

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2022 Investment Adviser Year-End Compliance Checklist

2022 Investment Adviser Year-End Compliance Checklist

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Connexien

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2022 Investment Adviser Compliance Calendar Update

2022 Investment Adviser Compliance Calendar Update

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Connexien

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BD- Broker-Dealer Chief Compliance Officer (CCO) Transition Checklist

BD- Broker-Dealer Chief Compliance Officer (CCO) Transition Checklist

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Connexien

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BD- Broker-Dealer Trade Blotter for Unregistered Offerings

BD- Broker-Dealer Trade Blotter for Unregistered Offerings

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Connexien

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IA- Investment Adviser Annual Compliance Meeting (ACM) Packet

IA- Investment Adviser Annual Compliance Meeting (ACM) Packet

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Connexien

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IA- Wisconsin Investment Adviser Financial Certification Form

IA- Wisconsin Investment Adviser Financial Certification Form

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Connexien

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UT- Utah Registration by Coordination Certification Form 10-2-1B

UT- Utah Registration by Coordination Certification Form 10-2-1B

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Connexien

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SD- South Dakota Uniform Consent to Service of Process Form U-2

SD- South Dakota Uniform Consent to Service of Process Form U-2

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Connexien

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OR- Oregon Intrastate Offering Registration Exemption Form

OR- Oregon Intrastate Offering Registration Exemption Form

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Connexien

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OR- Oregon Application to Register Securities Form

OR- Oregon Application to Register Securities Form

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Connexien

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MI- Michigan Uniform Consent to Service of Process Form U-2

MI- Michigan Uniform Consent to Service of Process Form U-2

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Connexien

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BD- FINRA Custodian Consent Form for Broker-Dealer Withdrawal

BD- FINRA Custodian Consent Form for Broker-Dealer Withdrawal

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Connexien

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