2024 Investment Adviser Annual Compliance Calendar Investment Adviser The rules require firms to

The rules require firms to establish

The updated Broker-Dealer List of Books and Records & Retention Requirements serves as useful guide in determining the specific types of books and records required of broker-dealers as well as the timeline in which each record must be maintained in accordance with SEC Rule 17a-3 & 17a-4

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

The 2019 Investment Adviser Annual Compliance Calendar Update serves as a valuable resource guide when preparing

Members also downloaded 2020 Investment Adviser Compliance Calendar and Investment Adviser Monthly Compliance Review Checklist

2024 Investment Adviser Annual Compliance Calendar Investment Adviser The rules require firms toThe 2024 Investment Adviser Annual Compliance Calendar serves as a valuable resource guide when preparing, planning and updating your annual compliance program. The Annual Compliance Calendar 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 industry events that may affect investment adviser