Shipping Estimate
USA
- USA
- CAN
- USA
- CAN
Ships within 48 hours · Estimated delivery Jul 6 - Jul 11
Promo Codes Available:
For Your Every Summer RSVP, with Code: SUMMER15
Description
BD- Broker-Dealer Books & Records File Management DirectoryThe Updated Broker Dealer Books & Records File Management Directory serves as a useful guide when organizing and mapping a broker dealers electronic books & records in accordance with FINRA Rule 4511 and SEC Rule 17a 3. This Guide also assists broker dealer firms in formatting and labeling electronic books & records in a file sub file directory format to maintain organized records as well as facilitate the production of books and records during a
The Updated Broker-Dealer Books & Records File Management Directory serves as a useful guide when organizing and mapping a broker-dealer’s electronic books & records in accordance with FINRA Rule 4511 and SEC Rule 17a-3. This Guide also assists broker-dealer firms in formatting and labeling electronic books & records in a file/sub-file directory format to maintain organized records as well as facilitate the production of books and records during a regulatory examination. Members also downloaded the FINRA Books and Records Requirements Checklist.
Version/Update: V.3/June 5, 2023
Total Page Count/Format: 5/.pdf
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