BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser The BCP also includes a

The BCP also includes a compliance attestation

planning and updating your annual compliance program

The List includes sections for recording information for each restricted security to include the appropriate code/reason for restriction type and a signed acknowledgement section

officers and employees be fingerprinted and shall submit

Due Diligence Checklist for Third-Party Vendors

BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser The BCP also includes aThe Small Firm Broker Dealer Annual Compliance Meeting & Training Packet serves as a ready made template to help small firms meet the requirements under FINRA Rule 3110(a)(7). The Training Packet includes twenty seven separate operations and compliance related topics to address select regulatory focal points and updates often highlighted during regulatory examinations and emphasized in each years FINRA Regulatory and Examination Priorities Letter. The