IA- Sample Resignation Letter with Form U5 Request NY Office of the Attorney General Library The updated Broker-Dealer List of

The updated Broker-Dealer List of Books and Records & Retention Requirements serves as useful guide in determining the specific types of books and records required of broker-dealers as well as the timeline in which each record must be maintained in accordance with SEC Rule 17a-3 & 17a-4

tracking and monitoring compliance with its restricted securities in accordance with Rule 204A-1 under the Advisers Act and the Insider Trading and Securities Fraud Enforcement Act of 1988

Total Page Count: 6

5/November 10

The ESA Template allows for broker-dealers to customize the terms and conditions and specific amounts and % allocations of its costs-sharing arrangements and memorialize such arrangements in accordance with books and records requirements

IA- Sample Resignation Letter with Form U5 Request NY Office of the Attorney General Library The updated Broker-Dealer List ofThe Investment Adviser Sample Resignation Letter serves as a useful template for formal notification regarding the resignation and voluntary termination of an advisory representative and the corresponding request for a copy of his her full Form U5 filing upon termination. The Form U5 (Uniform Termination Notice for Securities Industry Registration) is used by broker dealers, investment advisers, or issuers of securities to terminate the registration