BD- Broker-Dealer Verification of Customer Address Change Notice

The Broker-Dealer Verification of Customer Address Change Notice serves as an important part of a firm’s overall compliance program by meeting certain requirements under FINRA Rule 3110(C)(2)(A)(v) regarding changes of customer account information, including address and investment objectives changes and validation of such changes.  The customizable Notice allows firms to memorialize and document their notification processes regarding customer address changes as well as assist firms in addressing certain regulatory focal points often highlighted during the FINRA examination process.

Version/Update: V.2/October 10, 2022

Total Page Count/Format: 1/.docx

Source/Author(s): Connexien

Price: $25