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Description
BD- 2019 Broker-Dealer Year-end Compliance ChecklistThe 2019 Broker Dealer Year end Compliance Checklist serves as an important part of a broker dealers overall compliance program in accordance with FINRA Rule 3110 (Supervision). The Year end Compliance Checklist helps firms organize and recap the completion of its regulatory compliance requirements and due dates for the 2019 calendar period. The Checklist focuses on certain regulatory focal points including but not limited to employee personnel
The 2019 Broker-Dealer Year-end Compliance Checklist serves as an important part of a broker-dealer’s overall compliance program in accordance with FINRA Rule 3110 (Supervision). The Year-end Compliance Checklist helps firms organize and recap the completion of its regulatory compliance requirements and due dates for the 2019 calendar period. The Checklist focuses on certain regulatory focal points including but not limited to employee/personnel records; education & training; communications with the public; regulatory & financial reporting; vendor agreements; supervisory controls; branch supervision; anti-money laundering; and regulatory examinations. Members also downloaded 2019 Broker-Dealer Year-end Compliance Checklist in PDF Form Filler format.
Version/Update: V.5/November 10, 2019
Total Page Count/Format: 8/.docx
Source/Author(s): Connexien
Shipping Notes
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Exchange/Return Notes
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