BD- Fingerprint Card Notification Letter to FINRA Document Services Resources Members also downloaded Broker-Dealer Quarterly

Members also downloaded Broker-Dealer Quarterly Compliance Review Checklist and Broker-Dealer Monthly CRD Forms & Filings Review Checklist

The Investment Adviser New Account Client Profile Form serves as an important part of an investment adviser’s overall new client onboarding process

As the obligations to supervise electronic communications are based largely on the content and audience of the message rather than the electronic form of the communication

The Investment Adviser Non-Disclosure Agreement ("NDA") for Nonpublic Personal Information serves as an important part of an investment adviser's overall compliance and privacy program in accordance with SEC Rule 206(4)-7

BD- Fingerprint Card Notification Letter to FINRA Document Services Resources Members also downloaded Broker-Dealer QuarterlyThe Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing. In accordance with SEC Rule 17f 2 (Fingerprinting of securities industry personnel), a broker dealer firm shall require that each of its partners, directors, officers and employees be fingerprinted and shall submit, or cause to be submitted, the fingerprints of such persons to the Attorney General of the United States