BD- 2019 Broker-Dealer Year-end Compliance Checklist

The 2019 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 2019 calendar period. The Checklist focuses on certain regulatory focal points including but not limited to employee/personnel records; education & training; communications with the public; regulatory & financial reporting; vendor agreements; supervisory controls; branch supervision; anti-money laundering; and regulatory examinations. Members also downloaded 2019 Broker-Dealer Year-end Compliance Checklist in Word version.

Version/Update: V.5/November 10, 2019

Total Page Count/Format: 7/.pdf (form filler)

Source/Author(s): Connexien