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The Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing
a broker-dealer firm shall require that each of its partners
The Written Supervisory Procedure (WSP) Attestation is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations
The Checklist allows the reviewer to conduct a series of monthly compliance reviews to determine and properly assess a firm’s level of compliance on a regular basis
IA- New York Investment Adviser Cybersecurity Procedures (Limited Exemption) Investment Adviser The Fingerprint Card Notification LetterThe NY State Registered Investment Adviser Cybersecurity Policies & Procedures (Small Firm Limited Exemption) is designed to meet mandatory cybersecurity requirements for financial service entities (operating under the small firm limited exemption) in accordance with New York State Department of Financial Services (DFS) Cybersecurity Requirements for Financial Institutions (NYCRR 500). The Cybersecurity Procedures include seventeen separate sections
