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broker-dealer reg bi (care obligation) due diligence checklist

broker-dealer compliance manual section 1- personnel, licensing & registration

broker-dealer compliance manual exhibit 1.01-sup. & reg. personnel

ia- investment adviser registration questionnaire

bd- broker-dealer list of books and records & retention requirements

bd- non-disclosure agreement (nda) for nonpublic personal information

bd- broker-dealer social media disclosure statement

bd- anti-money laundering (aml) program approval by senior management

bd- compliance certification for non-registered covered persons

ia- small firm investment adviser business continuity plan (bcp)

ia- investment adviser gifts & gratuities disclosure statement

ia- investment adviser privacy policy statement notification

bd- registered representative quarterly compliance certification

bd- 2019 broker-dealer year-end compliance checklist

ia- 2020 investment adviser annual compliance calendar

bd- brokerage compensation & related conflicts of interest disclosure statement

ia- investment adviser client consent to electronic delivery of information

ia- investment adviser internal risk assessment index

bd- broker-dealer variable annuity purchase and exchange blotter

bd- broker-dealer consolidated customer account list