IA- Sample Resignation Letter with Form U5 Request NY Office of the Attorney General Library 5/November 10

5/November 10

The updated Broker-Dealer List of Books and Records & Retention Requirements serves as useful guide in determining the specific types of books and records required of broker-dealers as well as the timeline in which each record must be maintained in accordance with SEC Rule 17a-3 & 17a-4

Members also downloaded Investment Adviser Small Firm Cybersecurity Program

Total Page Count/Format: 4/

The ESA Template allows for broker-dealers to customize the terms and conditions and specific amounts and % allocations of its costs-sharing arrangements and memorialize such arrangements in accordance with books and records requirements

IA- Sample Resignation Letter with Form U5 Request NY Office of the Attorney General Library 5/November 10The Investment Adviser Sample Resignation Letter serves as a useful template for formal notification regarding the resignation and voluntary termination of an advisory representative and the corresponding request for a copy of his her full Form U5 filing upon termination. The Form U5 (Uniform Termination Notice for Securities Industry Registration) is used by broker dealers, investment advisers, or issuers of securities to terminate the registration