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including address and investment objectives changes and validation of such changes
The BCP also includes a compliance attestation
Facing Page
Starting a new FINRA Member Broker-Dealer
BD- Broker-Dealer Consolidated Customer Account List NY Office of the Attorney General Library including address and investment objectivesThe Broker Dealer Consolidated Customer Account List serves as a valuable list for recording a firms 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 dealers books and records and includes twenty eight separate columns sections for recording customer account information as well as
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