BD- Fingerprint Card Notification Letter to FINRA Document Services Resources 2/October 3

2/October 3

or issuers of securities to terminate the registration of an individual in the appropriate jurisdictions and/or self-regulatory organizations ("SROs")

The Investment Adviser New Account Client Profile Form serves as an important part of an investment adviser’s overall new client onboarding process

Members also downloaded Broker-Dealer Quarterly Compliance Review Checklist and Broker-Dealer Monthly CRD Forms & Filings Review Checklist

The OBA Disclosure Statement allows for registered advisory representatives and/or access persons to disclose and report all applicable outside business activities to the advisory firm for review and ongoing monitoring of actual and/or perceived conflicts of interest in compliance with applicable requirements

BD- Fingerprint Card Notification Letter to FINRA Document Services Resources 2/October 3The Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing. In accordance with SEC Rule 17f 2 (Fingerprinting of securities industry personnel), a broker dealer firm shall require that each of its partners, directors, officers and employees be fingerprinted and shall submit, or cause to be submitted, the fingerprints of such persons to the Attorney General of the United States