BD- Broker-Dealer Quarterly Compliance Review Checklist

The Broker-Dealer Quarterly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker-dealer’s supervisory obligations under FINRA Rule 3110(a).  The Quarterly Checklist allows the reviewer to conduct a series of quarterly compliance reviews to determine and properly assess a firm’s level of compliance on a regular basis.  Information captured on the Checklist includes eighteen (18) separate areas of risk and compliance to address regulatory focal points often highlighted during regulatory examinations.

Version/Update: V.2/May 24, 2018

Total Page Count: 11

Source/Author(s): Connexien