BD- Broker-Dealer Personal Securities Account Tracking Log

The Broker-Dealer Personal Securities Account Tracking Log serves as an important part of a firm’s overall compliance program by meeting certain requirements under FINRA Rule 3210 and corresponding Supplementary Materials.  The customizable spreadsheet allows firms to memorialize their receipt and review of associated persons’ brokerage account statements and includes multiple columns, sections and drop-down selections to provide documentary evidence of ongoing monitoring efforts.  The Tracking Log also assists firms in addressing certain regulatory focal points often highlighted during the FINRA examination process

Version/Update: V.2/August 31, 2022

Total Page Count/Format: 1/.xlsx (landscape)

Source/Author(s): Connexien