IA- Investment Adviser Restricted Securities List (RSL) Resources The Certification is often used

The Certification is often used for non-registered covered persons who may interact with public customers to confirm and acknowledge certain internal compliance policies

shall form the basis and understanding of the advisory agreement for this account

The Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing

tracking and monitoring compliance with its restricted securities in accordance with Rule 204A-1 under the Advisers Act and the Insider Trading and Securities Fraud Enforcement Act of 1988

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

IA- Investment Adviser Restricted Securities List (RSL) Resources The Certification is often usedThe Investment Adviser Restricted Securities List serves as an important tool for recording, tracking and monitoring compliance with its restricted securities in accordance with Rule 204A 1 under the Advisers Act and the Insider Trading and Securities Fraud Enforcement Act of 1988. The rules require firms to establish, maintain, and enforce procedures that are reasonably designed to prevent the misuse of non public information and associated persons