BD- Broker-Dealer CRD Forms & Filings Review Checklist

The updated Broker-Dealer CRD Forms & Filings Review Checklist serves as a useful tool to help review & recap CRD information as well as serve as a reminder for upcoming filings to keep you on track and meet your compliance reporting obligations.  The CRD Forms & Filings Review Checklist includes eleven separate sections, including newly added Form CRS, to help broker-dealers evidence their review of CRD announcements, Flex funding & invoices as well as regulatory filings & disclosures on the Firm Gateway and to develop appropriate action items.  Members also downloaded the Broker-Dealer Monthly Compliance Review Checklist.

Version/Update: V.2/November 6, 2020

Total Page Count/Format: 4/.pdf (form filler)

Source/Author(s): Connexien