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BD Compliance Toolbox

Form CRS or elationship summary.
This is the SEC form required to be filed by large traders.
A peer shares an Excel file the adviser uses to "score" its broker-dealers as part of its best execution review
Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.
Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.
Advisers should review their practices, policies, and procedures to ensure compliance with their advisory agreements and representations to clients in light of the fee and ...
A peer passes on the firm's policies and procedures for marketing.
A peer shares a copy of the initial document request letter the firm received for an SEC exam of a broker-dealer.
This two-page questionnaire can be used by staff to alert you to their outside business activity.
Click here to open a Word file that is a memo designed to educate staff about cybersecurity.
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