BD- Broker-Dealer New Membership Application Prep & Filing Checklist Investment Adviser Members also downloaded the OSJ

Members also downloaded the OSJ Branch Preliminary Audit Questionnaire (PAQ) and OSJ Branch Audit Review Template

as applicable

5/November 15

The WSP Section helps firms outline and implement effective supervisory processes regarding a firm’s DPP business

The Investment Adviser Written Supervisory Procedures Section on Personnel

BD- Broker-Dealer New Membership Application Prep & Filing Checklist Investment Adviser Members also downloaded the OSJStarting 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