The BD Forms and Research Library compiles essential forms and information you need to do business with and disclose to your clients, internal forms for your back-office, and white papers to stay compliant with federal and state regulations. The forms are delivered in WORD for your customization.

The BD Library includes 14 different packages, each of which contains multiple forms and research. The BD Library includes:

  • Best Execution Package (BD due diligence, trade ticket review, policy, and more)
  • Complaint Package: Complaint Definition, Complaint Handling, Complaint Log (3 documents)
  • Daily Blotter & Logs (cash, trading, holding record, and product cross reference)
  • Gifts and Entertainment Log & Policy
  • Internet Advertising & E-Mail Compliance
  • Mutual Fund Class A Form (mutual fund charges and disclosures)
  • New Account Form (with arbitration clause, risk definitions, other disclosures)
  • Employee Checklist
  • Privacy Notice, Policy, Confidentiality Agreements, Breach Letter, white paper
  • Outside Business Activity Form
  • Red Flags Rule – Identity Theft Prevention Program
  • Switch Form for Mutual Funds and Variable Annuities
  • Variable Annuity Risk Disclosure
  • Action Items Form

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