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804 of 808 products

BD- Fingerprint Card Notification Letter to FINRA Document Services

BD- Fingerprint Card Notification Letter to FINRA Document Services

Vendor:
Connexien

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IA- Small Firm Investment Adviser Business Continuity Plan (BCP)

IA- Small Firm Investment Adviser Business Continuity Plan (BCP)

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Connexien

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IA- SEC Reg. Investment Adviser Audit Review Template (IA-ART)

IA- SEC Reg. Investment Adviser Audit Review Template (IA-ART)

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Connexien

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BD- FINRA Broker-Dealer Firm Name Reservation Request Form

BD- FINRA Broker-Dealer Firm Name Reservation Request Form

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Connexien

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IA- District of Columbia Investment Adviser Firm Affidavit Update

IA- District of Columbia Investment Adviser Firm Affidavit Update

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Connexien

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IA- Investment Adviser Books & Records Electronic Directory

IA- Investment Adviser Books & Records Electronic Directory

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Connexien

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IA- Investment Adviser Social Media Disclosure Statement

IA- Investment Adviser Social Media Disclosure Statement

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Connexien

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IA- New York Investment Adviser Cybersecurity Procedures (Limited Exemption)

IA- New York Investment Adviser Cybersecurity Procedures (Limited Exemption)

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Connexien

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BD- Broker-Dealer Form U4 Confirmation of Accuracy

BD- Broker-Dealer Form U4 Confirmation of Accuracy

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Connexien

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BD- Registered Representative Annual Compliance Certification

BD- Registered Representative Annual Compliance Certification

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Connexien

Regular price $145.00 USD

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IA- Standard Investment Adviser Solicitor Agreement

IA- Standard Investment Adviser Solicitor Agreement

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Connexien

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BD- Broker-Dealer List of Books and Records & Retention Requirements

BD- Broker-Dealer List of Books and Records & Retention Requirements

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Connexien

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IA- Investment Adviser Preliminary Audit Records Request List (RRL)

IA- Investment Adviser Preliminary Audit Records Request List (RRL)

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Connexien

Regular price $75.00 USD

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Form CRS Relationship Summary Template for Dual Registrants

Form CRS Relationship Summary Template for Dual Registrants

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Connexien

Regular price $845.00 USD

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Form CRS Relationship Summary Template for Broker-Dealers

Form CRS Relationship Summary Template for Broker-Dealers

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Connexien

Regular price $475.00 USD

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New Jersey Bureau of Securities Investor Protection Information Form-8

New Jersey Bureau of Securities Investor Protection Information Form-8

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Connexien

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FINRA New Funding Portal Organization Super Account Administrator (SAA) & FEA Instructions

FINRA New Funding Portal Organization Super Account Administrator (SAA) & FEA Instructions

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Connexien

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Checklists for Mandatory Materiality Consultations Under Rule 1017(a)(6)&(a)(7)

Checklists for Mandatory Materiality Consultations Under Rule 1017(a)(6)&(a)(7)

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Connexien

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Broker-Dealer Non-Securities Consulting Agreement

Broker-Dealer Non-Securities Consulting Agreement

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Connexien

Regular price $175.00 USD

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Broker-Dealer OSJ Branch Audit Review Template- 2024 Subscription Updates

Broker-Dealer OSJ Branch Audit Review Template- 2024 Subscription Updates

Vendor:
Connexien

Regular price $875.00 USD

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Supplemental Report on SIPC Membership Template

Supplemental Report on SIPC Membership Template

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Connexien

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Broker-Dealer Compliance Manual Section 14- Private Placements

Broker-Dealer Compliance Manual Section 14- Private Placements

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Connexien

Regular price $275.00 USD

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Broker-Dealer Compliance Manual Section 8- Customer Accts. & Trans.

Broker-Dealer Compliance Manual Section 8- Customer Accts. & Trans.

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Connexien

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Broker-Dealer Compliance Manual Section 9- Privacy Policies & Procedures

Broker-Dealer Compliance Manual Section 9- Privacy Policies & Procedures

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Connexien

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Broker-Dealer Compliance Manual Section 7- Comm. with the Public

Broker-Dealer Compliance Manual Section 7- Comm. with the Public

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Connexien

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Broker-Dealer Compliance Manual Section 6- Financial Reporting

Broker-Dealer Compliance Manual Section 6- Financial Reporting

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Connexien

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Broker-Dealer Compliance Manual Section 5- Books & Records Reqs.

Broker-Dealer Compliance Manual Section 5- Books & Records Reqs.

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Connexien

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Broker-Dealer Compliance Manual Section 4- Cont. Education & Training

Broker-Dealer Compliance Manual Section 4- Cont. Education & Training

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Connexien

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Broker-Dealer Compliance Manual Section 3- General Supervision

Broker-Dealer Compliance Manual Section 3- General Supervision

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Connexien

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Broker-Dealer Compliance Manual Exhibit 3.02- WSP Attestation

Broker-Dealer Compliance Manual Exhibit 3.02- WSP Attestation

Vendor:
Connexien

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Broker-Dealer Compliance Manual Section 2- Standards of Conduct

Broker-Dealer Compliance Manual Section 2- Standards of Conduct

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Connexien

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Broker-Dealer Compliance Manual Exhibit 1.01-Sup. & Reg. Personnel

Broker-Dealer Compliance Manual Exhibit 1.01-Sup. & Reg. Personnel

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Connexien

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BD- Broker-Dealer Email Review Summary Report

BD- Broker-Dealer Email Review Summary Report

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Connexien

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SEC Registered Investment Adviser Compliance Manual- AML

SEC Registered Investment Adviser Compliance Manual- AML

Vendor:
Connexien

Regular price $225.00 USD

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SEC Registered Investment Adviser Compliance Manual- Proxy Voting

SEC Registered Investment Adviser Compliance Manual- Proxy Voting

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Connexien

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SEC Registered Investment Adviser Compliance Manual- Privacy Policy

SEC Registered Investment Adviser Compliance Manual- Privacy Policy

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Connexien

Regular price $325.00 USD

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