connexien

broker-dealer compliance manual section 15- variable contracts

bd- customer verification of account information & update form (36-month mailer)

bd- broker-dealer compliance frequency review guide

bd- broker-dealer annual compliance meeting & training packet

ia- investment adviser social media disclosure statement

bd- fincen customer due diligence (cdd) certification form

bd- broker-dealer gifts and gratuities disclosure statement

bd- fingerprint card notification letter to finra document services

ia- investment adviser political contribution disclosure statement

ia- investment adviser books and records retention list

ia- compliance questionnaire for independent investment adviser activities (short form)

bd- 2019 broker-dealer year-end compliance checklist

bd- request to open accounts at other broker-dealers and financial institutions

ia- investment adviser annual compliance meeting (acm) packet

ia- investment adviser paid testimonial or endorsement checklist

bd- broker-dealer trade blotter for unregistered offerings

bd- broker-dealer books & records file management directory

ia- investment adviser state registration requirements

investment adviser outside business activities (oba) tracking log

sec registered investment adviser compliance manual- customer complaints