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the Electronic Communications Policy Disclosure Statement is designed to communicate a broker-dealer’s set of policies regarding the use of electronic communications as well as obtain certification of compliance with respect to such policies in accordance with FINRA rules and supporting regulatory notices
regulatory requirements and reporting obligations on a periodic basis
the fingerprints of such persons to the Attorney General of the United States or its designee for identification and appropriate processing
The Attestation is used for registered
The information in the 2023 State Requirements List is categorized by state and includes each state regulatory agency’s mailing address and contact information
IA- 2021 Investment Adviser Annual Compliance Calendar Mid-Year Update Investment Adviser the Electronic Communications Policy DisclosureThe 2021 Investment Adviser Annual Compliance Calendar Mid Year Update 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 events that may affect investment
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