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.
A peer shares a copy of the initial document request letter the firm received for an SEC exam of a broker-dealer.
Click here to open a Word file that is a memo designed to educate staff about cybersecurity.
Seven pages of common exam deficiencies from FINRA.
A peer shares this document, which is used to have clients acknowledge how the firm is paid and other compensation information.
Among other things, the examinations revealed several significant deficiencies in the areas of suitability and supervision with respect to all of the examined firms’ sales ...