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IA- Investment Adviser Registration Questionnaire

IA- Investment Adviser Registration Questionnaire

Vendor:
Connexien

Regular price $125.00 USD

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IA- Investment Adviser Pre-Clearance Trade Request Form

IA- Investment Adviser Pre-Clearance Trade Request Form

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Connexien

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IA- Investment Adviser Monthly Compliance Review Checklist

IA- Investment Adviser Monthly Compliance Review Checklist

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Connexien

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Investment Adviser Initial/Annual Holdings Report

Investment Adviser Initial/Annual Holdings Report

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Connexien

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IA- Investment Adviser Annual Compliance Meeting (ACM) Packet

IA- Investment Adviser Annual Compliance Meeting (ACM) Packet

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Connexien

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IA- District of Columbia Investment Adviser Representative Affidavit Update

IA- District of Columbia Investment Adviser Representative Affidavit Update

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Connexien

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IA- Connecticut Investment Adviser Agent Registration Requirements

IA- Connecticut Investment Adviser Agent Registration Requirements

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Connexien

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IA- Colorado Investment Adviser Uniform Surety Bond Form U-SB

IA- Colorado Investment Adviser Uniform Surety Bond Form U-SB

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Connexien

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IA- Colorado Investment Adviser Cybersecurity Checklist and Rules

IA- Colorado Investment Adviser Cybersecurity Checklist and Rules

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Connexien

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IA- California State Investment Adviser Compliance Manual (without Exhibits)

IA- California State Investment Adviser Compliance Manual (without Exhibits)

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Connexien

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FL- Florida Uniform Application to Register Securities Form U-1

FL- Florida Uniform Application to Register Securities Form U-1

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Connexien

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DU- Form CRS Relationship Summary Template for Dual Registrants

DU- Form CRS Relationship Summary Template for Dual Registrants

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Connexien

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Broker-Dealer OSJ Branch Preliminary Audit Questionnaire (PAQ)

Broker-Dealer OSJ Branch Preliminary Audit Questionnaire (PAQ)

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Connexien

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Broker-Dealer Reg BI (Care Obligation) Due Diligence Checklist

Broker-Dealer Reg BI (Care Obligation) Due Diligence Checklist

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Connexien

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FINRA New Organization Super Account Administrator (SAA) Form & FEA Instructions

FINRA New Organization Super Account Administrator (SAA) Form & FEA Instructions

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Connexien

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BD- SEC Form 17-H

BD- SEC Form 17-H

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Connexien

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BD- SEC Broker-Dealer Withdrawal Form BDW

BD- SEC Broker-Dealer Withdrawal Form BDW

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Connexien

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BD- SEC Broker-Dealer Registration Form BD

BD- SEC Broker-Dealer Registration Form BD

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Connexien

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BD- Notification of Accounts at Other Broker-Dealers and Financial Institutions ("407 Letter")

BD- Notification of Accounts at Other Broker-Dealers and Financial Institutions ("407 Letter")

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Connexien

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BD- Form CRS Relationship Summary Template for Broker-Dealers

BD- Form CRS Relationship Summary Template for Broker-Dealers

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Connexien

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BD- FINRA Custodian Consent Form for Broker-Dealer Withdrawal

BD- FINRA Custodian Consent Form for Broker-Dealer Withdrawal

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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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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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BD- California Stmt of Citizenship, Alienage, and Immigration (Form 250.61)

BD- California Stmt of Citizenship, Alienage, and Immigration (Form 250.61)

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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 OSJ Branch Office Audit Review Template

BD- Broker-Dealer OSJ Branch Office Audit Review Template

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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- Anti-Money Laundering (AML) Independent Test- Audit Review Template

BD- Anti-Money Laundering (AML) Independent Test- Audit Review Template

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Connexien

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2024 Broker-Dealer Annual Compliance Calendar

2024 Broker-Dealer Annual Compliance Calendar

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Connexien

Regular price $175.00 USD

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2022 Investment Adviser Year-End Compliance Checklist

2022 Investment Adviser Year-End Compliance Checklist

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Connexien

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2022 Investment Adviser Compliance Calendar Update

2022 Investment Adviser Compliance Calendar Update

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Connexien

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SEC’s Disclosure Statement on Microcap Stock- A Guide for Investors

SEC’s Disclosure Statement on Microcap Stock- A Guide for Investors

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Connexien

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FINRA Sample Penny Stock Risk Disclosure Document

FINRA Sample Penny Stock Risk Disclosure Document

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Connexien

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Broker-Dealer Compliance Manual Sections 1-11 General Operations

Broker-Dealer Compliance Manual Sections 1-11 General Operations

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Connexien

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Checklists for Mandatory Materiality Consultations Under Rule 1017(a)(6)&(a)(7)

Checklists for Mandatory Materiality Consultations Under Rule 1017(a)(6)&(a)(7)

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Connexien

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Reg BI Documentation Form for Client Recommendations

Reg BI Documentation Form for Client Recommendations

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Brad Callen

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