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BD- Broker-Dealer Quarterly Compliance Review Checklist
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BD- Broker-Dealer Quarterly Compliance Review Checklist
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BD- Broker-Dealer Quarterly Compliance Review ChecklistThe Broker Dealer Quarterly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker dealers supervisory obligations under FINRA Rule 3110(a). The Quarterly Checklist allows the reviewer to conduct a series of quarterly compliance reviews to determine and properly assess a firms level of compliance on a regular basis. Information captured on the Checklist includes eighteen (18) separate areas of risk and compliance
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The Broker-Dealer Quarterly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker-dealer’s supervisory obligations under FINRA Rule 3110(a). The Quarterly Checklist allows the reviewer to conduct a series of quarterly compliance reviews to determine and properly assess a firm’s level of compliance on a regular basis. Information captured on the Checklist includes eighteen (18) separate areas of risk and compliance to address regulatory focal points often highlighted during regulatory examinations.
Version/Update: V.2/May 24, 2018
Total Page Count: 11
Source/Author(s): Connexien
BD- Broker-Dealer Quarterly Compliance Review Checklist
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