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Firms should make “diligent and prudent efforts” to obtain information about the client’s existing 401(k) plan or IRA
The BCP also includes a compliance attestation
BD- Broker-Dealer Consolidated Customer Account List NY Office of the Attorney General Library Total Page Count/Format: 17/The Broker Dealer Consolidated Customer Account List serves as a valuable list for recording a firms customer account and supporting information in a consolidated format often requested by FINRA for small firms with limited business activities or product lines. The customizable List is an instrumental part of a broker dealers books and records and includes twenty eight separate columns sections for recording customer account information as well as
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