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2023 State Reqs. for Broker-Dealer Annual Audited Financial Statements

2023 State Reqs. for Broker-Dealer Annual Audited Financial Statements

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Connexien

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2022 Broker-Dealer Year-end Compliance Review Checklist

2022 Broker-Dealer Year-end Compliance Review Checklist

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Connexien

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BD- Broker-Dealer Verification of Customer Address Change Notice

BD- Broker-Dealer Verification of Customer Address Change Notice

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Connexien

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BD- Broker-Dealer Personal Securities Account Tracking Log

BD- Broker-Dealer Personal Securities Account Tracking Log

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Connexien

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BD- FINRA CAB Written Supervisory Procedures Checklist (Excel)

BD- FINRA CAB Written Supervisory Procedures Checklist (Excel)

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Connexien

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BD- FINRA CAB Written Supervisory Procedures Checklist (PDF)

BD- FINRA CAB Written Supervisory Procedures Checklist (PDF)

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Connexien

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Options Disclosure- Characteristics and Risks of Standardized Options

Options Disclosure- Characteristics and Risks of Standardized Options

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Connexien

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CPBD- Reg. BI Supervisory Review of Client Recommendations

CPBD- Reg. BI Supervisory Review of Client Recommendations

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Connexien

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CPBD- Reg. BI Supervisory Review of Client Recommendations

CPBD- Reg. BI Supervisory Review of Client Recommendations

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Connexien

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CPBD- Reg. BI Documentation Form for Client Recommendations

CPBD- Reg. BI Documentation Form for Client Recommendations

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Connexien

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CPBD- Reg. BI Documentation Form for Client Recommendations

CPBD- Reg. BI Documentation Form for Client Recommendations

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Connexien

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BD- FINRA Books and Records Requirements Checklist

BD- FINRA Books and Records Requirements Checklist

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Connexien

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Broker-Dealer Compliance Manual Section 13- Impartial Conduct

Broker-Dealer Compliance Manual Section 13- Impartial Conduct

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Connexien

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Written Acknowledgement of Fiduciary Status under DOL PTE 2020-02

Written Acknowledgement of Fiduciary Status under DOL PTE 2020-02

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Connexien

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Rollover Due Diligence Form for DOL PTE 2020-02

Rollover Due Diligence Form for DOL PTE 2020-02

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Connexien

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Broker-Dealer Compliance Manual Section 12- Identity Theft Prevention

Broker-Dealer Compliance Manual Section 12- Identity Theft Prevention

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Connexien

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Broker-Dealer Compliance Manual Section 1- Personnel, Licensing & Reg.

Broker-Dealer Compliance Manual Section 1- Personnel, Licensing & Reg.

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Connexien

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Broker-Dealer Written Supervisory Procedures- Third-Party Vendor Mgmt

Broker-Dealer Written Supervisory Procedures- Third-Party Vendor Mgmt

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Connexien

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BD- FINRA New Member Firm Common Exam Exceptions Summary

BD- FINRA New Member Firm Common Exam Exceptions Summary

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Connexien

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Broker-Dealer Anti-Money Laundering Internal Risk Assessment Index

Broker-Dealer Anti-Money Laundering Internal Risk Assessment Index

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Connexien

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BD- Broker-Dealer Books & Records File Management Directory

BD- Broker-Dealer Books & Records File Management Directory

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Connexien

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BD- Broker-Dealer Consolidated Customer Account List

BD- Broker-Dealer Consolidated Customer Account List

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Connexien

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BD- 2022 State Requirements for Annual Audited Financial Statements

BD- 2022 State Requirements for Annual Audited Financial Statements

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Connexien

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BD- Broker-Dealer Chief Compliance Officer (CCO) Transition Checklist

BD- Broker-Dealer Chief Compliance Officer (CCO) Transition Checklist

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Connexien

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BD- Broker-Dealer New Membership Application Prep & Filing Checklist

BD- Broker-Dealer New Membership Application Prep & Filing Checklist

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Connexien

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BD- Broker-Dealer Regulation Best Interest (Reg BI) & Form CRS Flow Chart

BD- Broker-Dealer Regulation Best Interest (Reg BI) & Form CRS Flow Chart

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Connexien

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BD- Identity Theft Prevention Program (ITPP) Under Red Flags Rules

BD- Identity Theft Prevention Program (ITPP) Under Red Flags Rules

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Connexien

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BD- Identity Theft Prevention Program (ITPP) Red Flags Event Log

BD- Identity Theft Prevention Program (ITPP) Red Flags Event Log

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Connexien

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BD- Broker-Dealer Trade Blotter for Unregistered Offerings

BD- Broker-Dealer Trade Blotter for Unregistered Offerings

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Connexien

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BD- Broker-Dealer Variable Annuity Purchase and Exchange Blotter

BD- Broker-Dealer Variable Annuity Purchase and Exchange Blotter

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Connexien

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BD- Broker-Dealer Third-Party Vendor Management Log

BD- Broker-Dealer Third-Party Vendor Management Log

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Connexien

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BD- Broker-Dealer Trade Blotter for Mutual Fund Direct Business

BD- Broker-Dealer Trade Blotter for Mutual Fund Direct Business

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Connexien

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Securities Investor Protection Corp. SIPC-7 General Assessment Reconciliation Form

Securities Investor Protection Corp. SIPC-7 General Assessment Reconciliation Form

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Connexien

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Securities Investor Protection Corp. SIPC-6 General Assessment Payment Form

Securities Investor Protection Corp. SIPC-6 General Assessment Payment Form

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Connexien

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BD- FINRA Statement Regarding Independent Public Accountant

BD- FINRA Statement Regarding Independent Public Accountant

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Connexien

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BD- Due Diligence Checklist for Third-Party Service Providers

BD- Due Diligence Checklist for Third-Party Service Providers

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Connexien

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