Compliance Forms/Templates
Use the links below to download compliance forms and templates in Adobe PDF or Microsoft Word format. Also, as part of your membership with The Compliance Gurus, we will send you a copy of Tools and Templates for Your Practice by Deena Katz. This book contains many useful forms and ideas. If you have not received a copy, please e-mail us.
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Code of Ethics [Word Doc]
Code of Ethics - CFP Version [Word Doc]
ADV Part II Cover Page [Word Doc]
Sample Annual Offer [Word Doc]
SEC Recommended Layout for Equity Trading Blotter [Word Doc]
The SEC prefers to have these titles and information provided in Microsoft Excel format. Files should also be seperated into fixed-income, equity, mutual fund, and option trades.
Confidentiality Agreement [Word Doc]
SEC Recommended Layout for Fixed-Income Trading Blotter [Word Doc]
The SEC prefers to have these titles and information provided in Microsoft Excel format. Files should also be seperated into fixed-income, equity, mutual fund, and option trades.
Form U-4 [PDF]
Compliance Program/Annual Procedure Review [PDF]
Risk Management Matrix [PDF]
Form ADV Part I &II [PDF]
Form ADV Withdrawl [PDF]
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