Compliance Resource Forms

DISCLAIMER: These forms and documents are provided by Legaye Regulatory Support Services LLC , and are intended for informational purposes only and are not to be considered as legal advice, nor does it establish a client relationship. They are posted here as a preliminary resource guide, and starting point for those seeking to address certain compliance and regulatory issues, and are not intended to address every issue or question that could arise with respect to the related subject matter in any individual broker-dealer or investment advisory firm.  Additionally, the material may not reflect the most current legal developments, and there is no guarantee, express or implied, that the forms and documents are correct, complete, or even up-to-date given the rapidly changing laws, practices and technologies of the securities industry. Additional facts and future developments may affect the content of the material posted here, and persons interested in a more detailed analysis of the related subject matter should not act upon this information without first seeking competent legal or professional advice, as legal, compliance and or regulatory knowledge may be required for the proper use of the material.

Conflicts of Interest Worksheet

This worksheet can be used as a starting point for the review and inventory of conflicts of interests by broker-dealers. For a copy of the worksheet in Word Format, Click Here.  For more information on potential conflicts of interest and industry best practices, see the FINRA Report on Conflicts Report .


BCP Update Worksheet  

Worksheet that can be used by a broker-dealer or investment adviser to assess whether a business continuity plan addresses the industry best practices described in FINRA Notice to Members 13-25.


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