Marketing Rule Tools
Shared by - Craig R. Watanabe, CFP®
IA Marketing Policies and Procedures
Marketing Disclosure Library
The SEC Marketing Rule - NSCP Currents 2021
1940 Act Regulatory Checklists
Fintech, Regtech and the Role of Compliance 2021
2021 Exam Priorities - Division of Examinations
All Compliance Tools offered by FINRA
- Anti-Money Laundering Template
- Books and Records Requirements Checklist for Broker Dealers
- Breakpoints Checklist and Worksheet
- Breakpoints Interest Refund Calculator
- Breakpoints Sample Written Disclosure Document
- BrokerCheck Link Requirements in Rule 2210
- Business Continuity Planning Template
- CAT Onboarding Checklist
- Checklist for Organizational Change
- Compliance Calendar
- Compliance Vendor Directory
- Cybersecurity Checklist
- A Few Minutes with FINRA
- Firm Renewal Report Job Aid
- New Account Application Template
- Office of Foreign Asset Control (OFAC) Search Tool
- Peer-2-Peer Compliance Library
- Preferred Pricing Program
- Regulation Best Interest (Reg BI) and Form CRS Checklist
- Regulatory News Feed and Email Subscription Services
- Report Center
- Small Firms Information
- Topic Pages
- Weekly Update Email Archive
- Written Supervisory Procedures Checklist for Broker Dealers
- Written Supervisory Procedures Checklist for Capital Acquisition Brokers