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investment adviser firms must safeguard its customer information and ensure confidentiality
The customizable List is an instrumental part of a broker-dealer’s books and records and includes twenty-eight separate columns/sections for recording customer account information as well as addressing certain regulatory focal points often highlighted during the FINRA broker-dealer examination process
The Broker-Dealer Written Supervisory Procedures Section on DPPs serves as an important part of a firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110
(See Brad Callen's Library for additional resources)
BD- 2022 State Requirements for Annual Audited Financial Statements NY Office of the Attorney General Library investment adviser firms must safeguardThe 2022 State Requirements for Broker Dealer Annual Audited Financial Statements list is intended to keep broker dealers and their accounting firms informed of updated financial reporting requirements and to be used as a guide when preparing and submitting annual audited financial statements to state regulatory agencies. The information in the 2022 State Requirements List is categorized by state and includes each state regulatory agencys mailing
