The updated Broker-Dealer Monthly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker-dealer’s supervisory obligations under FINRA Rule 3110(a).  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.  Information captured on the Checklist includes eighteen separate areas of risk and compliance to address regulatory focal points often highlighted during regulatory examinations. Members also downloaded Broker-Dealer Quarterly Compliance Review Checklist and Broker-Dealer Monthly CRD Forms & Filings Review Checklist.

Version/Update: V.3/December 2, 2022

Total Page Count/Format: 10/.docx

Source/Author(s): Connexien