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and with applicable FINRA rules
The BCP also includes a compliance attestation
Firms should make “diligent and prudent efforts” to obtain information about the client’s existing 401(k) plan or IRA
Members also viewed Form CRS Relationship Summary Template for Dual Registrants and Form CRS Relationship Summary Template for Investment Advisers
account type (brokerage/advisory)
BD- Broker-Dealer Consolidated Customer Account List NY Office of the Attorney General Library and with applicable FINRA rulesThe Broker Dealer Consolidated Customer Account List serves as a valuable list for recording a firms customer account and supporting information in a consolidated format often requested by FINRA for small firms with limited business activities or product lines. The customizable List is an instrumental part of a broker dealers books and records and includes twenty eight separate columns sections for recording customer account information as well as
US$ 137.50
US$ 25.95
US$ 106.00
