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 ...
In April 2015, the Department of Justice put out these best practices for victims of cyber-attacks to consider following.
This Risk Alert provides summary observations from OCIE’s examinations of registered broker-dealers and investment advisers, conducted under the Cybersecurity Examination Initiative, announced April 15, 2014
Click here to open a Word file from a peer that can serve as an attestation form for staff. Employees would attest to understanding the ...
This letter, from the SEC's Los Angeles Regional Office, went to a broker-dealer in 2014. This letter features an unusual table of data that examiners ...
This Risk Alert summarizes deficiencies that OCIE staff observed in the controls that certain broker-dealers put in place to comply with obligations related to sales ...