2022 Broker-Dealer Year-end Compliance Review Checklist

The 2022 Broker-Dealer Year-end Compliance Checklist serves as an important part of a broker-dealer’s overall compliance program in accordance with FINRA Rule 3110 (Supervision).  The Year-end Compliance Checklist helps firms organize and recap the completion of its regulatory compliance requirements and due dates for the 2022 calendar period. The Checklist focuses on certain regulatory focal points including but not limited to personnel records; education & training; communications with the public; regulatory & financial reporting; vendor agreements; Reg. BI/Form CRS; supervisory controls; branch supervision; best execution; anti-money laundering; and regulatory examinations. Members also downloaded Broker-Dealer Quarterly Compliance Review Checklist and Broker-Dealer Monthly CRD Forms & Filings Review Checklist.

Version/Update: V.8/December 1, 2022

Total Page Count/Format: 9/.docx

Source/Author(s): Connexien