The Broker-Dealer Consolidated Customer Account List serves as a valuable list for recording a firm’s 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-dealer’s books and records and includes twenty-eight separate columns/sections for recording customer account information as well as addressing certain regulatory focal points often highlighted during the FINRA broker-dealer examination process. Members also downloaded Broker-Dealer Trade Blotter for Mutual Fund Direct Business and Broker-Dealer Variable Annuity Purchase and Exchange Blotter.

Version/Update: V.2/April 5, 2022

Total Page Count/Format: 1/.xlsx (landscape)

Source/Author(s): Connexien