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The Checklist assists broker-dealers in documenting and testing the range and quality of execution services and whether the Firm used reasonable diligence to ascertain the best market for the subject security and buy or sell in such market so that the resultant price to the customer is as favorable as possible under prevailing market conditions
CRD number and fingerprint barcode reference number of the person fingerprinted
Total Page Count/Format: 11/
non-registered covered persons and/or associated persons who conduct broker-dealer business activities to acknowledge receipt of and compliance with a broker-dealer’s current written supervisory procedures
In accordance with SEC Rule 17f-2 (Fingerprinting of securities industry personnel)
BD- Broker-Dealer Monthly Compliance Review Checklist Investment Adviser The Checklist assists broker-dealers inThe updated Broker Dealer Monthly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker dealers supervisory obligations under FINRA Rule 3110(a). The Checklist allows the reviewer to conduct a series of monthly compliance reviews to determine and properly assess a firms level of compliance on a regular basis. Information captured on the Checklist includes eighteen separate areas of risk and compliance to address
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