BD- Request to Open Accounts At Other Broker-Dealers and Financial Institutions Resources The Investment Adviser Non-Disclosure Agreement

The Investment Adviser Non-Disclosure Agreement ("NDA") for Nonpublic Personal Information serves as an important part of an investment adviser's overall compliance and privacy program in accordance with SEC Rule 206(4)-7

The Broker-Dealer Request to Open Account(s) at Other Broker-Dealers and Financial Institutions is a useful template to satisfy the initial request and notification requirement under FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)

The Certification is often used for non-registered covered persons who may interact with public customers to confirm and acknowledge certain internal compliance policies

Version/Update: V

The Cybersecurity Procedures include seventeen separate sections to address New York requirements regarding cybersecurity in addition to corresponding exhibits such as Electronic Communications Policy

BD- Request to Open Accounts At Other Broker-Dealers and Financial Institutions Resources The Investment Adviser Non-Disclosure AgreementThe Broker Dealer Request to Open Account(s) at Other Broker Dealers and Financial Institutions is a useful template to satisfy the initial request and notification requirement under FINRA Rule 3210 (Accounts At Other Broker Dealers and Financial Institutions). This Request Form should be completed and submitted to broker dealer firms by registered representatives who are requesting to open a securities account away from their current employer member