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Broker-Dealers

Year-End Compliance Checklist

Investment Advisors

Form ADV Part 2A Annual Review Checklist

Books and Records Matrix

Financial Crimes Enforcement Network (FinCEN)
Financial Industry Regulatory Authority (FINRA)
Municipal Securities Rulemaking Board (MSRB)
N.A. Securities Administrators Association (NASAA)

National Futures Association (NFA)
Office of Foreign Assets Control (OFAC)
U.S. Commodity Futures Trading Commission (CFTC)
U.S. Securities and Exchange Commission (SEC)

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