BD- Broker-Dealer Consolidated Customer Account List NY Office of the Attorney General Library The BCP also includes a

The BCP also includes a compliance attestation

17-3152023

account type (brokerage/advisory)

Facing Page

Previous year available at The 2022 State Requirements for Broker-Dealer Annual Audited Financial Statements

BD- Broker-Dealer Consolidated Customer Account List NY Office of the Attorney General Library The BCP also includes aThe Broker Dealer Consolidated Customer Account List serves as a valuable list for recording a firms customer account and supporting information in a consolidated format often requested by FINRA for small firms with limited business activities or product lines. The customizable List is an instrumental part of a broker dealers books and records and includes twenty eight separate columns sections for recording customer account information as well as