Templates & Resources
Below is a list of Templates & Resources that we can make available to you. Please contact us to request any of these: (877) 542-6759
- Pre Hire Consent Form
- New Employee Checklist
- Form U4
- Fingerprint Information
- Registered Representative Agreement
- Outside Business Activities Attestation
- Outside Brokerage Accounts Attestation
- Supervisory Procedures Attestation
- Private Securities Attestation
- Social Media Attestation
- Employee Rule 2263 Disclosure – Formerly Rule 3080
- AML Written Supervisory Procedures
- Customer Identification Program Procedures
- Executive Representative AML Program Approval
- Applicable Notices to Members
- Sample 3120-3130 Review/Report
- 3120-3130 CCO and CEO Meeting Notes
- CEO Certification
- Financial/FOCUS Filing Due Dates
- Annual Audit Checklist
- Facing Page (Form X-17A-5)
- Expense Sharing Agreement
- Applicable Notice to Members – Net Capital Rule (SEC Rule 15c3-1), FinOp Responsibilities, Expense Sharing Agreements and FAQ FinOp
- Checks Received and Forwarded Blotter
- Securities Received and Forwarded Blotter
- Do Not Call List
- Gift and Gratuity Log
- Electronic Storage Letter
- 3rd Party Electronic Storage Letter