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broker-dealer compliance manual section 19- low priced securities (penny stocks)

ia- due diligence checklist for third-party service providers

bd- outside business activities (oba) tracking & analysis spreadsheet

ia- form adv offer letter & summary of material changes

bd- anti-money laundering (aml) independent test- audit review template

ia- investment adviser best execution review checklist

ia- list of designated supervisory and registered personnel

ia- written policies and procedures compliance attestation

bd- broker-dealer small firm cybersecurity procedures

ia- investment adviser new account client profile form

du- form crs relationship summary template for dual registrants

bd- broker-dealer privacy policy statement notification

ia- 2021 investment adviser year-end compliance checklist

bd- broker-dealer chief compliance officer (cco) transition checklist

broker-dealer compliance manual section 12- identity theft prevention

sec registered investment adviser compliance manual- impartial conduct standards

bd- broker-dealer verification of customer address change notice

sec registered investment adviser compliance manual- standards of conduct

sec registered investment adviser compliance manual- proxy voting

broker-dealer compliance manual section 6- financial reporting