Investment Adviser Personal Securities Account Tracking Log

The Investment Adviser Personal Securities Account Tracking Log serves as an important part of a firm’s overall compliance program in accordance with SEC Rule 206(4)-7.  The customizable spreadsheet allows firms to memorialize their receipt and review of associated persons’ brokerage account statements and includes multiple columns, sections and drop-down selections to provide documentary evidence of ongoing monitoring efforts.  The Tracking Log also assists firms in addressing certain regulatory focal points often highlighted during the examination process.

Version/Update: V.2/August 31, 2022

Total Page Count/Format: 1/.xlsx (landscape)

Source/Author(s): Connexien