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Description
BD- Broker-Dealer Trade Blotter for Unregistered OfferingsThe Broker Dealer Trade Blotter for Unregistered Offerings serves as a valuable blotter for recording transactional activity specific to deals in private offerings. The customizable Trade Blotter is an instrumental part of a broker dealers books and records and includes twelve separate sections for recording and tracking private offering transactions as well as addressing certain regulatory focal points often highlighted during the FINRA broker dealer
The Broker-Dealer Trade Blotter for Unregistered Offerings serves as a valuable blotter for recording transactional activity specific to deals in private offerings. The customizable Trade Blotter is an instrumental part of a broker-dealer’s books and records and includes twelve separate sections for recording and tracking private offering transactions as well as addressing certain regulatory focal points often highlighted during the FINRA broker-dealer examination process. Members also downloaded Broker-Dealer Trade Blotter for Mutual Fund Direct Business and Broker-Dealer Variable Annuity Purchase and Exchange Blotter.
Version/Update: V.3/October 12, 2021
Total Page Count/Format: 1/.xlsx (landscape)
Source/Author(s): Connexien
Shipping Notes
- Free Standard Shipping on $100+ Orders to the USA.
- Except Preorder products are shipped in 48 hours.
- Delivery to the USA:
- Standard Shipping : 3-10 business days
- If time is of the essence, please consider selecting expedited delivery for faster service.
Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
- Final sale items are not eligible for returns or exchanges.
- To process your return/exchange, please contact us at [email protected]
- Please click here for more details>>> Return & Exchange Policy