Pre-Exam Checklist

Work through this comprehensive checklist to ensure you are fully prepared for your state securities examination.

0 of 32 items complete

Regulatory Filings

0/5

Form ADV Part 1 is current and accurateForm ADV Part 2A (Brochure) delivered to all clients annuallyForm ADV Part 2B (Brochure Supplement) current for all IARsState registration renewals are currentAll amendments filed within required timeframes

Books & Records

0/5

Financial statements and trial balances are currentFee calculation documentation is completeClient correspondence files are organized and accessibleElectronic communications (email, text) are properly archivedTrade blotters and order records are maintained

Client Documentation

0/4

Advisory agreements signed by all clientsSuitability questionnaires completed and currentFee schedules match advisory agreementsPrivacy notices delivered annually

Compliance Program

0/5

Written compliance policies and procedures are currentAnnual compliance review has been completed and documentedCompliance calendar is maintained with upcoming deadlinesException reports are documented and resolvedSupervisory procedures match actual firm practices

Marketing Materials

0/4

All advertising materials have been reviewed and approvedPerformance presentations include required disclosuresTestimonial and endorsement disclosures are in placeSocial media activity is archived and compliant

Code of Ethics

0/5

Written code of ethics is adopted and currentAll access persons have acknowledged the codePersonal trading pre-clearance records are maintainedHoldings and transaction reports are filed on timeGift and entertainment log is maintained

Business Continuity

0/4

Business continuity plan is documented and currentBCP has been tested within the past 12 monthsCybersecurity policies and procedures are in placeData backup and recovery procedures are documented

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