Rollover Due Diligence Form for DOL PTE 2020-02 NY Office of the Attorney General Library and the reporting and record-keeping

and the reporting and record-keeping requirements under SEC Rule 17a-3 and 17a-4 and as described in Notice to Members 03-63

and FINRA Rule 3110 (Supervision)

The list also provides a detailed description of each record along with the corresponding retention requirements and specific rule reference

Members also downloaded Broker-Dealer Quarterly Compliance Review Checklist and Broker-Dealer Monthly CRD Forms & Filings Review Checklist

The Written Supervisory Procedure (WSP) Attestation is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations

Rollover Due Diligence Form for DOL PTE 2020-02 NY Office of the Attorney General Library and the reporting and record-keepingThe Rollover Due Diligence Form for DOL PTE 2020 02 serves as an important part of a firms overall compliance with the Department of Labors (DOLs) adopted Prohibited Transaction Exemption 2020 02 (PTE 2020 02) where broker dealers and investment advisers making a rollover recommendation will need to document the reasons why the rollover is in the retirement investors best interest. Firms should make diligent and prudent efforts to obtain information