Tools
Checklists
- 529 College Savings Plan MSRB Rule Compliance
- Books and Records Recordkeeping Requirements Checklist
- Breakpoints Checklist and Worksheet
- Comparison of the AML Customer Identification Rule and the SEC’s Books & Records Customer Account Records Rule
- Checklist for Organizational Change: Important Steps Related to the Merger, Acquisition, and Succession Process
- Written Supervisory Procedures Checklist
- Anti-Money Laundering Template
Templates & Forms
- Business Continuity Planning Template
- BCP Disclosure Statement
- Breakpoints Claim Forms and Notification Letters
- Breakpoints Sample Written Disclosure Document
- New Account Application Template
- Small Firm Emergency Partner Program Contract Template
- Alphabetical List of Online Forms
Interactive Tools
- Breakpoints Interest Refund Calculator – a tool that firms can use to determine the appropriate refund due to investors.
- OFAC Search Tool – provides searchable access to the U.S. Treasury Office's Specially Designated Nationals and Blocked Persons (SDN) list.
- File an Industry Tip
Tutorials
- REG T System Tutorial – this tutorial highlights the new and/or expanded data field requirements in the combined system that has integrated legacy NYSE Regulation and NASD extension of time processing systems.
- New Form NMA and Application Process – the purpose of this tutorial is to introduce changes to the New Member Application Process.
- Electronic Storage Media Tutorial – reviews how to file the electronic storage media notification and applicable representations through the Firm Gateway.
- AREF Tutorial – this tutorial reviews how to submit filings for advertising or sales literature via the Advertising Regulation Electronic Filing System.
