Broker-Dealer Compliance Manual Section 17- Direct Participation Programs (DPPs) Broker Members also downloaded Annual Report

Members also downloaded Annual Report Form X-17A-5 Part III Facing Page

The Quarterly Checklist allows the reviewer to conduct a series of quarterly compliance reviews to determine and properly assess a firm’s level of compliance on a regular basis

The Outside Business Activities (OBA) Disclosure Statement serves as an important part of an investment adviser’s overall compliance program by meeting certain disclosure and reporting requirements under SEC Rule 206(4)-7 and Rule 204A-1 and/or similar state requirements

Previous year available at The 2022 State Requirements for Broker-Dealer Annual Audited Financial Statements

2/April 19

Broker-Dealer Compliance Manual Section 17- Direct Participation Programs (DPPs) Broker Members also downloaded Annual ReportThe Broker Dealer Written Supervisory Procedures Section on DPPs 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 helps firms outline and implement effective supervisory processes regarding a firms DPP business. The customizable WSP Section allows firms to memorialize their compliance and supervisory processes and includes nine (9) separate