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8/September 17
the Electronic Communications Policy Disclosure Statement is designed to communicate a broker-dealer’s set of policies regarding the use of electronic communications as well as obtain certification of compliance with respect to such policies in accordance with FINRA rules and supporting regulatory notices
Our Broker-Dealer OSJ Branch Office Audit Review Template Annual Subscription Updates are designed to keep broker-dealers informed and updated on material changes to the regulatory landscape that may impact their internal audit processes
Total Page Count/Format: varies (per update)/
Firms should make “diligent and prudent efforts” to obtain information about the client’s existing 401(k) plan or IRA
BD- Broker-Dealer Verification of Customer Address Change Notice Investment Adviser 8/September 17The Broker Dealer Verification of Customer Address Change Notice serves as an important part of a firms 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
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US$ 100.24
