2006
Year-End Compliance Checklist
Broker/Dealer
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Don't
wait until the last minute to complete your required compliance
activities. Remember, MGL can assist your firm in finishing
the year-end requirements on time, with "peace of mind."
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| Item |
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Deadline |
Completed |
| Annual
Compliance Meeting |
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12/31/06
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| Annual
Internal Inspection of Records |
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12/31/06
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Annual Privacy Notices to Customers |
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12/31/06
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| WebCRD
Renewal Payments |
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12/08/06
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| WebCRD
Deadline for new Form U-4s, U-5s, Partial BDWs and BD Amendments |
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12/20/06
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| State
of Illinois - Branch Office Listing |
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12/05/06
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| 2006
Continuing Education Training |
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12/31/06
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| 2007
Needs Analysis and Training Plan |
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12/31/06
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| Schedule
Annual Audit with Firm Accountants for 2006 (Firms with 12/31
year end) |
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12/31/06
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| Annual
AML Testing - 2006 |
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12/31/06
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| 314
B Annual Filing |
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12/03/06
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| Notice
to NASD/SEC to Change Designated Accountants (Firms with
12/31 year end) |
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12/10/06
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| Annual
Audit - Extension Requests (Firms with 12/31 year end) |
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02/23/07
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| Annual
Audit - NASD/SEC/State Filings (Firms with 12/31 year end) |
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03/01/07
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| Annual
Review of Business Activities, Form BD and Update of Written
Supervisory Procedures |
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12/31/06
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| Annual
Business Continuity Notice to Customers |
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12/01/06
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| Annual
Margin Disclosure |
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12/31/06
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| Annual
Order Routing Disclosure Notice to Customers |
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12/31/06
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| Payment
for Order Flow Disclosure |
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12/31/06
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| Review
of 2006 Supervisory Control Systems |
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01/31/07
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| Chief
Executive Officer (or equivalent) Certification |
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03/31/07
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| Annual
Research Disclosure |
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4/01/07
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