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ia- investment adviser new hire onboarding compliance checklist

ia- compliance certification for independent investment adviser activities (long form)

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

bd- registered representative quarterly compliance certification

ia- investment adviser pre-clearance trade request form

bd- 2019 state requirements for broker-dealer annual audited financial statements

bd- broker-dealer small firm cybersecurity procedures

bd- small firm annual compliance meeting & training packet

ia- investment adviser small firm cybersecurity program

ia- sec registered investment adviser compliance manual (with exhibits)

ia- sec registered investment adviser compliance manual (without exhibits)

ia- investment adviser books and records retention list

ia- investment adviser privacy policy statement notification

ia- identity theft red flags event disclosure log

ia- investment adviser year-end compliance checklist

ia- standard financial planning agreement with fee schedule exhibit

ia- standard investment advisory/investment management agreement

bd- broker-dealer replacement of accountant notice

bd- broker-dealer expense sharing agreement (esa) template

ia- written policies and procedures compliance attestation