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Ships within 48 hours · Estimated delivery Jul 5 - Jul 10
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Description
BD- Broker-Dealer Consolidated Customer Account ListThe Broker Dealer Consolidated Customer Account List serves as a valuable list for recording a firms customer account and supporting information in a consolidated format often requested by FINRA for small firms with limited business activities or product lines. The customizable List is an instrumental part of a broker dealers books and records and includes twenty eight separate columns sections for recording customer account information as well as
The Broker-Dealer Consolidated Customer Account List serves as a valuable list for recording a firm’s customer account and supporting information in a consolidated format often requested by FINRA for small firms with limited business activities or product lines. The customizable List is an instrumental part of a broker-dealer’s books and records and includes twenty-eight separate columns/sections for recording customer account information as well as addressing certain regulatory focal points often highlighted during the FINRA broker-dealer examination process. Members also downloaded Broker-Dealer Trade Blotter for Mutual Fund Direct Business and Broker-Dealer Variable Annuity Purchase and Exchange Blotter.
Version/Update: V.2/April 5, 2022
Total Page Count/Format: 1/.xlsx (landscape)
Source/Author(s): Connexien
Shipping Notes
- Free Standard Shipping on $100+ Orders to the USA.
- Except Preorder products are shipped in 48 hours.
- Delivery to the USA:
- Standard Shipping : 3-10 business days
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Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
- Final sale items are not eligible for returns or exchanges.
- To process your return/exchange, please contact us at [email protected]
- Please click here for more details>>> Return & Exchange Policy