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- USA
- CAN
Ships within 48 hours · Estimated delivery Jul 9 - Jul 14
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Description
BD- Disclosure and Review Form for Registered Persons Holding Positions of TrustThe Disclosure and Review Form for Registered Persons Holding Positions of Trust is a useful tool for meeting the requirements for receiving written notice and conducting an assessment of the risks associated with new FINRA Rule 3241 (Registered Person Being Named a Customers Beneficiary or Holding a Position of Trust for a Customer) effective February 15, 2021. The Disclosure & Review Form allows broker dealer firms to capture required initial
The Disclosure and Review Form for Registered Persons Holding Positions of Trust is a useful tool for meeting the requirements for receiving written notice and conducting an assessment of the risks associated with new FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer) effective February 15, 2021. The Disclosure & Review Form allows broker-dealer firms to capture required initial request and disclosure information as well as provide documentary evidence the firm’s final assessment and determination of registered persons acting in such capacity.
Version/Update: V.1/February 1, 2021
Total Page Count/Format: 3/.pdf (form filler)
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
- If time is of the essence, please consider selecting expedited delivery for faster service.
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