BD- FINRA New Account Application Template Short Form

The FINRA New Account Application Template Short Form assists firms with the establishment, designing or updating their new account forms.  The template can be customized to meet each firm’s business practices, branding and operational requirements.  The voluntary template should be used as a guide for individual or joint accounts.  Members also downloaded Broker-Dealer Small Firm Cybersecurity Procedures or Broker-Dealer Monthly Compliance Review Checklist.

Version/Update: V.U/May 2020

Total Page Count/Format: 9/.pdf

Source/Author(s): FINRA