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2/October 3
including the net capital rule
Source/Author(s): Brad Callen
CRD number and fingerprint barcode reference number of the person fingerprinted
The Broker-Dealer Request to Open Account(s) at Other Broker-Dealers and Financial Institutions is a useful template to satisfy the initial request and notification requirement under FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)
CPBD- Reg. BI Documentation Form for Client Recommendations Brad Callen 2/October 3Compliance with Regulation Best Interest (Reg. BI) continues to be a concern of regulators. The Reg. BI Documentation Form for Client Recommendations serves as an important tool to document what the broker dealers investment professional has reviewed or considered for account and product recommendations, including reasonably available alternatives. The form documents recommendation type (product or account related), account type (brokerage advisory),
