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officers and employees be fingerprinted and shall submit
CRD number and fingerprint barcode reference number of the person fingerprinted
tracking and monitoring compliance with its restricted securities in accordance with Rule 204A-1 under the Advisers Act and the Insider Trading and Securities Fraud Enforcement Act of 1988
and the reporting and record-keeping requirements under SEC Rule 17a-3 and 17a-4 and as described in Notice to Members 03-63
IA- Non-Disclosure Agreement (NDA) for Nonpublic Personal Information Broker officers and employees be fingerprintedThe 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, Regulation S P and or similar state requirements. When working with third party service providers, investment adviser firms must safeguard its customer information and ensure confidentiality. This NDA helps firms establish standard
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