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as well as provide information on market holidays and events that may affect investment adviser business operations
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
The information in the 2025 State Requirements List is categorized by state and includes each state regulatory agency’s mailing address and contact information
Broker-Dealer Written Supervisory Procedures- Third-Party Vendor Mgmt Resources 2/February 1The Broker Dealer Written Supervisory Procedures Section on Third Party Vendor Management serves as an important part of a firms written supervisory procedures (WSPs) and overall compliance program in accordance with FINRA Rule 3110. The WSP Section on Third Party Vendor Management Procedures helps firms outline and implement effective supervisory processes regarding its third party vendor program. The WSP Section includes fifteen (15) separate
