IA- New York Investment Adviser Cybersecurity Procedures (Limited Exemption) Investment Adviser This NDA helps firms establish

This NDA helps firms establish standard guidelines for ensuring that nonpublic personal information ("NPI") within the meaning of applicable privacy laws and regulations relating to customers of the firm or its affiliates is properly protected

The Written Supervisory Procedure (WSP) Attestation is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations

The Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing

Members also downloaded Investment Adviser Rep Annual Compliance Certification

IA- New York Investment Adviser Cybersecurity Procedures (Limited Exemption) Investment Adviser This NDA helps firms establishThe NY State Registered Investment Adviser Cybersecurity Policies & Procedures (Small Firm Limited Exemption) is designed to meet mandatory cybersecurity requirements for financial service entities (operating under the small firm limited exemption) in accordance with New York State Department of Financial Services (DFS) Cybersecurity Requirements for Financial Institutions (NYCRR 500). The Cybersecurity Procedures include seventeen separate sections