BD Compliance Toolbox

This form must be completed by municipal advisors that are organized entities, including sole proprietors (referred to herein as “municipal advisory firms” or “firms,” unless ...

While both broker-dealers and investment advisers may be subject to a best interest standard of conduct, there are significant differences in the customer/client relationship covered

After the compliance date, OCIE staff intends to engage in examinations to assess broker-dealers’ implementation and operational effectiveness of Regulation Best Interest

A peer shared this example of a policy and procedure for anti-money laundering

Form CRS or elationship summary.

This is the SEC form required to be filed by large traders.

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.