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
Broker-Dealer Compliance Manual Section 7- Comm. with the Public
Broker-Dealer Compliance Manual Section 6- Financial Reporting
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Broker-Dealer Compliance Manual Section 5- Books & Records Reqs.
Broker-Dealer Compliance Manual Section 4- Cont. Education & Training
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
Broker-Dealer Compliance Manual Exhibit 1.01-Sup. & Reg. Personnel
BD- 2023 State Requirements for Broker-Dealer Annual Audited Financial Statements
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2022 Broker-Dealer Year-end Compliance Review Checklist
BD- Broker-Dealer Verification of Customer Address Change Notice
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)
Options Disclosure Document- Characteristics and Risks of Standardized Options
CPBD- Reg. BI Supervisory Review of Client Recommendations
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CPBD- Reg. BI Documentation Form for Client Recommendations
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BD- FINRA Books and Records Requirements Checklist
Broker-Dealer Compliance Manual Section 13- Impartial Conduct
Written Acknowledgement of Fiduciary Status under DOL PTE 2020-02
Rollover Due Diligence Form for DOL PTE 2020-02
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Broker-Dealer Compliance Manual Section 12- Identity Theft Prevention
Broker-Dealer Compliance Manual Section 1- Personnel, Licensing & Reg.
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Broker-Dealer Written Supervisory Procedures- Third-Party Vendor Mgmt
BD- FINRA New Member Firm Common Exam Exceptions Summary