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The updated OSJ Branch Office Preliminary Audit Records Request List (RRL) is typically used when preparing for a broker-dealer OSJ compliance inspection
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
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
officers and employees be fingerprinted and shall submit
2/October 3
BD- Broker-Dealer Verification of Customer Address Change Notice Investment Adviser The updated OSJ Branch OfficeThe Broker Dealer Verification of Customer Address Change Notice serves as an important part of a firms overall compliance program by meeting certain requirements under FINRA Rule 3110(C)(2)(A)(v) regarding changes of customer account information, including address and investment objectives changes and validation of such changes. The customizable Notice allows firms to memorialize and document their notification processes regarding customer address
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