BD- Broker-Dealer Verification of Customer Address Change Notice Investment Adviser 2/October 3

2/October 3

The updated OSJ Branch Office Preliminary Audit Records Request List (RRL) is typically used when preparing for a broker-dealer OSJ compliance inspection

Source/Authors(s): Connexien

Total Page Count/Format: varies (per update)/

BD- Broker-Dealer Verification of Customer Address Change Notice Investment Adviser 2/October 3The Broker Dealer Verification of Customer Address Change Notice serves as an important part of a firms overall compliance program by meeting certain requirements under FINRA Rule 3110(C)(2)(A)(v) regarding changes of customer account information, including address and investment objectives changes and validation of such changes. The customizable Notice allows firms to memorialize and document their notification processes regarding customer address