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IA- District of Columbia Investment Adviser Firm Affidavit Update

IA- District of Columbia Investment Adviser Firm Affidavit Update

Vendor:
Connexien

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BD- District of Columbia Statement of Financial Condition

BD- District of Columbia Statement of Financial Condition

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Connexien

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IA- Investment Adviser Books & Records Electronic Directory

IA- Investment Adviser Books & Records Electronic Directory

Vendor:
Connexien

Regular price $125.00 USD

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IA- Investment Adviser Social Media Disclosure Statement

IA- Investment Adviser Social Media Disclosure Statement

Vendor:
Connexien

Regular price $45.00 USD

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

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

Vendor:
Connexien

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BD- Broker-Dealer Form U4 Confirmation of Accuracy

BD- Broker-Dealer Form U4 Confirmation of Accuracy

Vendor:
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

Vendor:
Connexien

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

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

Vendor:
Connexien

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Broker-Dealer Compliance Manual Section 6- Financial Reporting

Broker-Dealer Compliance Manual Section 6- Financial Reporting

Vendor:
Connexien

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Broker-Dealer Compliance Manual Section 4- Continuing Education & Training

Broker-Dealer Compliance Manual Section 4- Continuing 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 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 Section 1- Personnel, Licensing & Registration

Broker-Dealer Compliance Manual Section 1- Personnel, Licensing & Registration

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Connexien

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Broker-Dealer Compliance Manual General Operations Section 1-11

Broker-Dealer Compliance Manual General Operations Section 1-11

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Connexien

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2025 Broker-Dealer WSP Annual Subscription Updates

2025 Broker-Dealer WSP Annual Subscription Updates

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Connexien

Regular price $1,575.00 USD

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Broker-Dealer Compliance Manual Section 19- Low Priced Securities (Penny Stocks)

Broker-Dealer Compliance Manual Section 19- Low Priced Securities (Penny Stocks)

Vendor:
Connexien

Regular price $225.00 USD

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SEC Sample Schedule 15G

SEC Sample Schedule 15G

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Connexien

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Broker-Dealer Compliance Manual Section 17- Direct Participation Programs (DPPs)

Broker-Dealer Compliance Manual Section 17- Direct Participation Programs (DPPs)

Vendor:
Connexien

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Broker-Dealer Compliance Manual Section 16- Investment Company Securities (Mutual Funds)

Broker-Dealer Compliance Manual Section 16- Investment Company Securities (Mutual Funds)

Vendor:
Connexien

Regular price $375.00 USD

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Broker-Dealer Compliance Manual Section 15- Variable Contracts

Broker-Dealer Compliance Manual Section 15- Variable Contracts

Vendor:
Connexien

Regular price $325.00 USD

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Form CRS Relationship Summary Template for Dual Registrants

Form CRS Relationship Summary Template for Dual Registrants

Vendor:
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

Vendor:
Connexien

Regular price $475.00 USD

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Reg BI Supervisory Review of Client Recommendations

Reg BI Supervisory Review of Client Recommendations

Vendor:
Brad Callen

Regular price $95.00 USD

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Reg BI Supervisory Review of Client Recommendations

Reg BI Supervisory Review of Client Recommendations

Vendor:
Brad Callen

Regular price $45.00 USD

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REG BI Documentation Form for Client Recommendations

REG BI Documentation Form for Client Recommendations

Vendor:
Brad Callen

Regular price $75.00 USD

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Broker-Dealer Non-Securities Consulting Agreement

Broker-Dealer Non-Securities Consulting Agreement

Vendor:
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

Vendor:
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.

Vendor:
Connexien

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

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

Vendor:
Connexien

Regular price $225.00 USD

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

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

Vendor:
Connexien

Regular price $225.00 USD

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Broker-Dealer Compliance Manual Section 6- Financial Reporting

Broker-Dealer Compliance Manual Section 6- Financial Reporting

Vendor:
Connexien

Regular price $325.00 USD

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

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

Vendor:
Connexien

Regular price $225.00 USD

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