KORS for Broker-Dealer Compliance are designed to provide Chief Compliance Officers of broker-dealer firms comply with the obligations and regulatory responsibilities applicable to FINRA-member firms. The compilation of checklists is based on the compliance requirements and obligations established under FINRA rules and regulations, the Securities Exchange Act of 1934, and other federal regulations that govern the activities of broker-dealers.

Try It For FREE!

Please send me my free KORS Financial Checklists.

Financial Checklist Request