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The rules require firms to establish
The updated Broker-Dealer Best Execution Review Checklist is a useful tool and guide when meeting the requirements for conducting regular and rigorous reviews as part of a broker-dealer’s obligation to obtain best execution when handling customer orders
instructions about the advisory account and certain provisions that will govern the advisory relationship
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BD- Anti-Money Laundering (AML) Preliminary Audit Questionnaire NY Office of the Attorney General Library The rules require firms toThe 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. All answers provided by the broker dealer allow for the reviewer to further focus the testing processes and better analyze points of risk related to the AML independent test. Version Update: V. 3 October 14, 2017 Total Page Count: 6
