Templates & Forms
- Anti-Money Laundering Template
- Business Continuity Planning Template
- Breakpoints Sample Written Disclosure Document
- Tools and Resources for Complying With the BrokerCheck Link Requirements in Rule 2210
- SEC Identity Theft Red Flags Rule Template
- New Account Application Template
- Alphabetical List of Online Forms
- Breakpoints Interest Refund Calculator – a tool that firms can use to determine the appropriate refund due to investors.
- Compliance Calendar – provides firms with a calendar view of upcoming deadlines and events.
- Compliance Vendor Directory – Connecting firms with vendors that specialize in compliance-related offerings.
- OFAC Search Tool – provides searchable access to the U.S. Treasury Office's Specially Designated Nationals and Blocked Persons (SDN) list.
- Report Center – provides firms with secure access to data and reports designed to support their compliance activities.
- Breakpoints Checklist and Worksheet
- Broker/Dealer – Books and Records Recordkeeping Requirements Checklist
- Broker-Dealer – Written Supervisory Procedures Checklist
- Capital Acquisition Brokers – Written Supervisory Procedures Review Checklist
- Checklist for Organizational Change: Important Steps Related to the Merger, Acquisition, and Succession Process
- Municipal Bond Sales in the Secondary Market: Checklist for Customer Disclosure
- Small Firm Cybersecurity Checklist
- eFOCUS Tutorials – these tutorials provide step-by-step instructions for completing a firm's FOCUS filing.
- Electronic Storage Media Tutorial – reviews how to file the electronic storage media notification and applicable representations through the Firm Gateway.
- Form NMA and Application Process
- REX System Tutorial – this tutorial is about the new REX system that replaces FINRA's existing Reg T system to collect Regulation T and SEA Rule 15c3-3 extension of time requests.
- Report Center Online Guides – documentation and tutorials to help firms understand how to use FINRA's report cards.
- Supplemental Statement of Income (SSOI) – this tutorial covers the SSOI filing process.