BD- Broker-Dealer Variable Annuity Purchase and Exchange Blotter NY Office of the Attorney General Library The Investment Adviser Written Supervisory

The Investment Adviser Written Supervisory Procedures Section on Proxy Voting Procedures serves as an important part of a SEC Registered investment adviser firm’s written supervisory procedures (WSPs) and overall compliance program in accordance with SEC Rule 206(4)-7

and managing the request items and supporting documents needed as part of FINRA’s broker-dealer new membership application (NMA) process

their financial status

As with many start-ups

The OBA Disclosure Statement allows for registered advisory representatives and/or access persons to disclose and report all applicable outside business activities to the advisory firm for review and ongoing monitoring of actual and/or perceived conflicts of interest in compliance with applicable requirements

BD- Broker-Dealer Variable Annuity Purchase and Exchange Blotter NY Office of the Attorney General Library The Investment Adviser Written SupervisoryThe Broker Dealer Variable Annuity Purchase and Exchange Blotter serves as a valuable blotter for recording transactional activity specific to a broker dealers variable annuity business. The customizable Trade Blotter is an instrumental part of a broker dealers books and records and includes twenty nine separate sections for recording and tracking variable annuity transactions as well as addressing certain regulatory focal points often highlighted