IA- 2019 Investment Adviser Compliance Calendar Update NY Office of the Attorney General Library The Form U5 (Uniform Termination

The Form U5 (Uniform Termination Notice for Securities Industry Registration) is used by broker-dealers

a broker-dealer firm shall require that each of its partners

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The Form CRS Relationship Summary Template for Broker-Dealers is part of SEC’s Regulation Best Interest (Reg BI) due June 30

When working with third-party service providers

IA- 2019 Investment Adviser Compliance Calendar Update NY Office of the Attorney General Library The Form U5 (Uniform TerminationThe 2019 Investment Adviser Annual Compliance Calendar Update serves as a valuable resource guide when preparing, planning and updating your annual compliance program. The Annual Compliance Calendar Update is intended to keep investment advisers informed of date specific and event driven compliance reporting requirements, filing deadlines and rule references, as well as provide information on market holidays and events that may affect investment