Broker-Dealer Resources
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Form CRS Relationship Summary Template for Dual Registrants
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Form CRS Relationship Summary Template for Broker-Dealers
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FINRA New Funding Portal Organization Super Account Administrator (SAA) & FEA Instructions
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Checklists for Mandatory Materiality Consultations Under Rule 1017(a)(6)&(a)(7)
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Reg BI Supervisory Review of Client Recommendations
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Reg BI Supervisory Review of Client Recommendations
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Reg BI Documentation Form for Client Recommendations
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REG BI Documentation Form for Client Recommendations
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Broker-Dealer Non-Securities Consulting Agreement
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Private Placement Due Diligence Review Checklist
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Broker-Dealer Non-OSJ Branch Audit Review Template- 2024 Subscription Updates
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Broker-Dealer OSJ Branch Audit Review Template- 2024 Subscription Updates
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2024 Broker-Dealer WSP Annual Subscription Updates
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2024 Broker-Dealer Annual Compliance Calendar
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Supplemental Report on SIPC Membership Template
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Broker-Dealer Non-OSJ Branch Office Audit Review Template
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Broker-Dealer Reg BI (Care Obligation) Due Diligence Checklist
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Broker-Dealer Compliance Manual Section 14- Private Placements
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Broker-Dealer Compliance Manual Section 8- Customer Accts. & Trans.
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Broker-Dealer Compliance Manual Section 9- Privacy Policies & Procedures
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Broker-Dealer Compliance Manual Section 7- Comm. with the Public
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Broker-Dealer Compliance Manual Section 6- Financial Reporting
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Broker-Dealer Compliance Manual Section 5- Books & Records Reqs.
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Broker-Dealer Compliance Manual Section 4- Cont. Education & Training
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Broker-Dealer Compliance Manual Section 3- General Supervision
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Broker-Dealer Compliance Manual Exhibit 3.02- WSP Attestation
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Broker-Dealer Compliance Manual Section 2- Standards of Conduct
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Broker-Dealer Compliance Manual Exhibit 1.01-Sup. & Reg. Personnel
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2023 State Reqs. for Broker-Dealer Annual Audited Financial Statements
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2022 Broker-Dealer Year-end Compliance Review Checklist
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BD- Broker-Dealer Verification of Customer Address Change Notice
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BD- Broker-Dealer Personal Securities Account Tracking Log
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BD- FINRA CAB Written Supervisory Procedures Checklist (Excel)
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BD- FINRA CAB Written Supervisory Procedures Checklist (PDF)
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Options Disclosure- Characteristics and Risks of Standardized Options
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CPBD- Reg. BI Supervisory Review of Client Recommendations
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