Compliance Bulletin 04-14

YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF
End of Year Compliance Requirements For Broker Dealers

As the end of 2014 quickly approaches, this Compliance Bulletin serves as a notice and reminder to Broker-Dealers regarding year-end responsibilities that must be executed in accordance with FINRA / SEC regulatory requirements. Reconciling your current “state of compliance” is the most effective way to ascertain your program’s status and ensure your firm continues to meet its ongoing regulatory requirements.

Compliance Bulletin 04-14 includes information on:

• FINRA 3012 / 3130 Testing and Certification – Identifying Hot Topic Issues
• SEC Rule 17a-5 – Annual Compliance Report
• Independent Anti-Money Laundering (“AML”) Test / Review
• Written Supervisory Procedures (“WSPs”) Review
• Continuing Education and Branch Office Reviews
• Annual Compliance Meeting, Registrations and Renewals

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