|
2006
Year-End Compliance Checklist
|
|
|
Don't
wait until the last minute to make sure your firm has completed
its required compliance activities. Remember, MGL can assist
you in finishing the year-end requirements.
|
| |
| Item |
|
Deadline |
Completed |
| Annual
Compliance Meeting |
|
12/31/05
|
|
| Annual
Internal Inspection of Records |
|
12/31/05
|
|
|
Annual Privacy Notices to Customers |
|
12/31/05
|
|
| WebCRD
Renewal Payments |
|
12/02/05
|
|
| WebCRD
Deadline for new Form U-4s, U-5s, Partial BDWs and BD Amendments |
|
12/18/05
|
|
| State
of Illinois - Branch Office Listing |
|
12/05/05
|
|
| 2005
Continuing Education Training |
|
12/31/05
|
|
| 2006
Needs Analysis and Training Plan |
|
12/31/05
|
|
| Schedule
Annual Audit with Firm Accountants for 2005 (Firms with 12/31
year end) |
|
12/31/05
|
|
| Annual
AML Testing - 2005 |
|
12/31/05
|
|
| 314
B Annual Filing |
|
12/03/05
|
|
| Notice
to NASD/SEC to Change Designated Accountants (Firms with
12/31 year end) |
|
12/15/05
|
|
| Annual
Audit - Extension Requests (Firms with 12/31 year end) |
|
02/23/06
|
|
| Annual
Audit - NASD/SEC/State Filings (Firms with 12/31 year end) |
|
03/01/06
|
|
| Annual
Review of Business Activities, Form BD and Update of Written
Supervisory Procedures |
|
12/31/05
|
|
| Annual
Business Continuity Notice to Customers |
|
12/01/05
|
|
| Annual
Margin Disclosure |
|
12/31/05
|
|
| Annual
Order Routing Disclosure Notice to Customers |
|
12/31/05
|
|
| Payment
for Order Flow Disclosure |
|
12/31/05
|
|
| Certification
from Firm's Principal(s) to Senior Management detailing system
of supervisory controls |
|
01/31/06*
|
|
| Chief
Executive Officer (or equivalent) Certification |
|
12/01/05*
|
|
| Annual
Research Disclosure |
|
12/31/05
|
|
