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The Anti-Money Laundering (AML) Preliminary Audit Questionnaire is typically submitted to broker-dealers to complete in advance of their upcoming AML independent testing requirements in accordance with FINRA Rule 3110
and the reporting and record-keeping requirements under SEC Rule 17a-3 and 17a-4 and as described in Notice to Members 03-63
Total Page Count/Format: 11/
BD- Electronic Communications Policy Disclosure Statement NY Office of the Attorney General Library 2/October 9The Broker Dealer Electronic Communications Policy Disclosure Statement is typically used as part of a broker dealers periodic compliance certification process with its registered and associated personnel. As the obligations to supervise electronic communications are based largely on the content and audience of the message rather than the electronic form of the communication, the Electronic Communications Policy Disclosure Statement is designed to
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