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Source/Authors(s): Connexien
5/November 15
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
Members also downloaded the OSJ Branch Preliminary Audit Questionnaire (PAQ) and OSJ Branch Audit Review Template
2/September 26
BD- Broker-Dealer New Membership Application Prep & Filing Checklist Investment Adviser Source/Authors(s): ConnexienStarting a new FINRA Member Broker Dealer? The Broker Dealer New Membership Application (NMA) Preparation & Filing Checklist is an important resource and time saver for identifying, tracking, and managing the request items and supporting documents needed as part of FINRAs broker dealer new membership application (NMA) process. As with many start ups, timing and filing requirements are critical. The customizable Checklist provides insight into the
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