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the fingerprints of such persons to the Attorney General of the United States or its designee for identification and appropriate processing
Members also downloaded Investment Adviser Rep Annual Compliance Certification
or issuers of securities to terminate the registration of an individual in the appropriate jurisdictions and/or self-regulatory organizations ("SROs")
The rules require firms to establish
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BD- Broker-Dealer Expense Sharing Agreement (ESA) Template Investment Adviser the fingerprints of such personsThe Broker Dealer Expense Sharing Agreement (ESA) Template is a useful tool for evidencing compliance with the financial responsibility rules relating to cost sharing, including the net capital rule, and the reporting and record keeping requirements under SEC Rule 17a 3 and 17a 4 and as described in Notice to Members 03 63. The ESA Template allows for broker dealers to customize the terms and conditions and specific amounts and % allocations of its
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