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Compliance Bulletin 04-14

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.

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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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