{"id":416,"date":"2014-10-17T12:48:30","date_gmt":"2014-10-17T12:48:30","guid":{"rendered":"https:\/\/www.jwmichaels.com\/?p=364"},"modified":"2017-08-02T15:05:06","modified_gmt":"2017-08-02T15:05:06","slug":"end-year-compliance-requirements-broker-dealers","status":"publish","type":"post","link":"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/","title":{"rendered":"End Of Year Compliance Requirements For Broker Dealers"},"content":{"rendered":"<h2><span style=\"color: #330066;\"><strong>YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF<\/strong><\/span><\/h2>\n<p><strong>End of Year Compliance Requirements For Broker Dealers<br \/>\n<\/strong><br \/>\n<a href=\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" src=\"https:\/\/www.jwmichaels.com\/JWM\/wp-content\/uploads\/2014\/10\/inf-below-270x300.png\" alt=\"\" width=\"270\" height=\"300\" class=\"alignright size-medium wp-image-1580\" srcset=\"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2014\/10\/inf-below-270x300.png 270w, https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2014\/10\/inf-below.png 500w\" sizes=\"(max-width: 270px) 100vw, 270px\" \/><\/a>As the end of 2014 quickly approaches, this Compliance Bulletin serves as a notice and reminder to Broker Dealers regarding year-end responsibilities that must be executed in accordance with FINRA \/ SEC regulatory requirements. Reconciling your current \u201cstate of compliance\u201d is the most effective way to ascertain your program\u2019s status and ensure your firm continues to meet its ongoing regulatory requirements.<\/p>\n<p><strong><span style=\"color: #330066;\"><!--more--><\/span><\/strong><\/p>\n<h2><span style=\"color: #330066;\"><strong>Compliance Bulletin 04-14 includes information on:<\/strong><\/span><\/h2>\n<ul>\n<li>FINRA 3012 \/ 3130 Testing and Certification \u2013 Identifying Hot Topic Issues<\/li>\n<li>SEC Rule 17a-5 \u2013 Annual Compliance Report<\/li>\n<li>Independent Anti-Money Laundering (\u201cAML\u201d) Test \/ Review<\/li>\n<li>Written Supervisory Procedures (\u201cWSPs\u201d) Review<\/li>\n<li>Continuing Education and Branch Office Reviews<\/li>\n<li>Annual Compliance Meeting, Registrations and Renewals<\/li>\n<\/ul>\n<p>Fill out the form below to download your complimentary Compliance Bulletin titled <strong>You Better Check Yourself- Before You Wreck Yourself.<\/strong><\/p>\nPlease select a valid form\n<p><strong><span style=\"color: #e26c0a;\">Click Only Once Please!<\/span> <\/strong>\u00a0Processing may take up to\u00a090 seconds<\/p>\n","protected":false},"excerpt":{"rendered":"<p>YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For Broker Dealers As the end of 2014 quickly approaches, this Compliance Bulletin serves as a notice and reminder to Broker Dealers regarding year-end responsibilities that must be executed in accordance with FINRA \/ SEC regulatory requirements. Reconciling your current \u201cstate [&hellip;]<\/p>\n","protected":false},"author":29,"featured_media":1690,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"inline_featured_image":false,"footnotes":""},"categories":[40],"tags":[],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v22.5 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>End Of Year Compliance Requirements For Broker Dealers - JW Michaels Archives<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"End Of Year Compliance Requirements For Broker Dealers - JW Michaels Archives\" \/>\n<meta name=\"twitter:description\" content=\"YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For Broker Dealers As the end of 2014 quickly approaches, this Compliance Bulletin serves as a notice and reminder to Broker Dealers regarding year-end responsibilities that must be executed in accordance with FINRA \/ SEC regulatory requirements. Reconciling your current \u201cstate [&hellip;]\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2014\/10\/mitchel-lensink-205264-1024x512.jpg\" \/>\n<meta name=\"twitter:creator\" content=\"@JWMichaels\" \/>\n<meta name=\"twitter:site\" content=\"@JWMichaels\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"JW Michaels\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"Article\",\"@id\":\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#article\",\"isPartOf\":{\"@id\":\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/\"},\"author\":{\"name\":\"JW Michaels\",\"@id\":\"https:\/\/www.jwmichaels.com\/#\/schema\/person\/6eff100ec2f4d6f976a7664adb89d7f6\"},\"headline\":\"End Of Year Compliance Requirements For Broker Dealers\",\"datePublished\":\"2014-10-17T12:48:30+00:00\",\"dateModified\":\"2017-08-02T15:05:06+00:00\",\"mainEntityOfPage\":{\"@id\":\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/\"},\"wordCount\":160,\"publisher\":{\"@id\":\"https:\/\/www.jwmichaels.com\/#organization\"},\"image\":{\"@id\":\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#primaryimage\"},\"thumbnailUrl\":\"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2014\/10\/mitchel-lensink-205264.jpg\",\"articleSection\":[\"Compliance \/ Risk Management\"],\"inLanguage\":\"en-US\"},{\"@type\":\"WebPage\",\"@id\":\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/\",\"url\":\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/\",\"name\":\"End Of Year Compliance Requirements For Broker Dealers - JW Michaels Archives\",\"isPartOf\":{\"@id\":\"https:\/\/www.jwmichaels.com\/#website\"},\"primaryImageOfPage\":{\"@id\":\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#primaryimage\"},\"image\":{\"@id\":\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#primaryimage\"},\"thumbnailUrl\":\"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2014\/10\/mitchel-lensink-205264.jpg\",\"datePublished\":\"2014-10-17T12:48:30+00:00\",\"dateModified\":\"2017-08-02T15:05:06+00:00\",\"breadcrumb\":{\"@id\":\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#breadcrumb\"},\"inLanguage\":\"en-US\",\"potentialAction\":[{\"@type\":\"ReadAction\",\"target\":[\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/\"]}]},{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#primaryimage\",\"url\":\"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2014\/10\/mitchel-lensink-205264.jpg\",\"contentUrl\":\"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2014\/10\/mitchel-lensink-205264.jpg\",\"width\":1500,\"height\":1000},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#breadcrumb\",\"itemListElement\":[{\"@type\":\"ListItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\/\/www.jwmichaels.com\/\"},{\"@type\":\"ListItem\",\"position\":2,\"name\":\"End Of Year Compliance Requirements For Broker Dealers\"}]},{\"@type\":\"WebSite\",\"@id\":\"https:\/\/www.jwmichaels.com\/#website\",\"url\":\"https:\/\/www.jwmichaels.com\/\",\"name\":\"JW Michaels\",\"description\":\"Executive Search Firm\",\"publisher\":{\"@id\":\"https:\/\/www.jwmichaels.com\/#organization\"},\"potentialAction\":[{\"@type\":\"SearchAction\",\"target\":{\"@type\":\"EntryPoint\",\"urlTemplate\":\"https:\/\/www.jwmichaels.com\/?s={search_term_string}\"},\"query-input\":\"required name=search_term_string\"}],\"inLanguage\":\"en-US\"},{\"@type\":\"Organization\",\"@id\":\"https:\/\/www.jwmichaels.com\/#organization\",\"name\":\"JW Michaels\",\"url\":\"https:\/\/www.jwmichaels.com\/\",\"logo\":{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\/\/www.jwmichaels.com\/#\/schema\/logo\/image\/\",\"url\":\"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2022\/04\/JWM-Logo.svg\",\"contentUrl\":\"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2022\/04\/JWM-Logo.svg\",\"width\":\"1024\",\"height\":\"1024\",\"caption\":\"JW Michaels\"},\"image\":{\"@id\":\"https:\/\/www.jwmichaels.com\/#\/schema\/logo\/image\/\"},\"sameAs\":[\"https:\/\/www.facebook.com\/jwmichaelsco\",\"https:\/\/x.com\/JWMichaels\"]},{\"@type\":\"Person\",\"@id\":\"https:\/\/www.jwmichaels.com\/#\/schema\/person\/6eff100ec2f4d6f976a7664adb89d7f6\",\"name\":\"JW Michaels\",\"image\":{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\/\/www.jwmichaels.com\/#\/schema\/person\/image\/\",\"url\":\"https:\/\/secure.gravatar.com\/avatar\/9fd66b858c0cd90364c250af506bd95c?s=96&d=mm&r=g\",\"contentUrl\":\"https:\/\/secure.gravatar.com\/avatar\/9fd66b858c0cd90364c250af506bd95c?s=96&d=mm&r=g\",\"caption\":\"JW Michaels\"},\"url\":\"https:\/\/www.jwmichaels.com\/author\/jw-michaels\/\"}]}<\/script>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"End Of Year Compliance Requirements For Broker Dealers - JW Michaels Archives","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/","twitter_card":"summary_large_image","twitter_title":"End Of Year Compliance Requirements For Broker Dealers - JW Michaels Archives","twitter_description":"YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For Broker Dealers As the end of 2014 quickly approaches, this Compliance Bulletin serves as a notice and reminder to Broker Dealers regarding year-end responsibilities that must be executed in accordance with FINRA \/ SEC regulatory requirements. Reconciling your current \u201cstate [&hellip;]","twitter_image":"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2014\/10\/mitchel-lensink-205264-1024x512.jpg","twitter_creator":"@JWMichaels","twitter_site":"@JWMichaels","twitter_misc":{"Written by":"JW Michaels","Est. reading time":"1 minute"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#article","isPartOf":{"@id":"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/"},"author":{"name":"JW Michaels","@id":"https:\/\/www.jwmichaels.com\/#\/schema\/person\/6eff100ec2f4d6f976a7664adb89d7f6"},"headline":"End Of Year Compliance Requirements For Broker Dealers","datePublished":"2014-10-17T12:48:30+00:00","dateModified":"2017-08-02T15:05:06+00:00","mainEntityOfPage":{"@id":"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/"},"wordCount":160,"publisher":{"@id":"https:\/\/www.jwmichaels.com\/#organization"},"image":{"@id":"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#primaryimage"},"thumbnailUrl":"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2014\/10\/mitchel-lensink-205264.jpg","articleSection":["Compliance \/ Risk Management"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/","url":"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/","name":"End Of Year Compliance Requirements For Broker Dealers - JW Michaels Archives","isPartOf":{"@id":"https:\/\/www.jwmichaels.com\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#primaryimage"},"image":{"@id":"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#primaryimage"},"thumbnailUrl":"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2014\/10\/mitchel-lensink-205264.jpg","datePublished":"2014-10-17T12:48:30+00:00","dateModified":"2017-08-02T15:05:06+00:00","breadcrumb":{"@id":"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#primaryimage","url":"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2014\/10\/mitchel-lensink-205264.jpg","contentUrl":"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2014\/10\/mitchel-lensink-205264.jpg","width":1500,"height":1000},{"@type":"BreadcrumbList","@id":"https:\/\/www.jwmichaels.com\/end-year-compliance-requirements-broker-dealers\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.jwmichaels.com\/"},{"@type":"ListItem","position":2,"name":"End Of Year Compliance Requirements For Broker Dealers"}]},{"@type":"WebSite","@id":"https:\/\/www.jwmichaels.com\/#website","url":"https:\/\/www.jwmichaels.com\/","name":"JW Michaels","description":"Executive Search Firm","publisher":{"@id":"https:\/\/www.jwmichaels.com\/#organization"},"potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.jwmichaels.com\/?s={search_term_string}"},"query-input":"required name=search_term_string"}],"inLanguage":"en-US"},{"@type":"Organization","@id":"https:\/\/www.jwmichaels.com\/#organization","name":"JW Michaels","url":"https:\/\/www.jwmichaels.com\/","logo":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.jwmichaels.com\/#\/schema\/logo\/image\/","url":"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2022\/04\/JWM-Logo.svg","contentUrl":"https:\/\/www.jwmichaels.com\/wp-content\/uploads\/2022\/04\/JWM-Logo.svg","width":"1024","height":"1024","caption":"JW Michaels"},"image":{"@id":"https:\/\/www.jwmichaels.com\/#\/schema\/logo\/image\/"},"sameAs":["https:\/\/www.facebook.com\/jwmichaelsco","https:\/\/x.com\/JWMichaels"]},{"@type":"Person","@id":"https:\/\/www.jwmichaels.com\/#\/schema\/person\/6eff100ec2f4d6f976a7664adb89d7f6","name":"JW Michaels","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.jwmichaels.com\/#\/schema\/person\/image\/","url":"https:\/\/secure.gravatar.com\/avatar\/9fd66b858c0cd90364c250af506bd95c?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9fd66b858c0cd90364c250af506bd95c?s=96&d=mm&r=g","caption":"JW Michaels"},"url":"https:\/\/www.jwmichaels.com\/author\/jw-michaels\/"}]}},"_links":{"self":[{"href":"https:\/\/www.jwmichaels.com\/wp-json\/wp\/v2\/posts\/416"}],"collection":[{"href":"https:\/\/www.jwmichaels.com\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.jwmichaels.com\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.jwmichaels.com\/wp-json\/wp\/v2\/users\/29"}],"replies":[{"embeddable":true,"href":"https:\/\/www.jwmichaels.com\/wp-json\/wp\/v2\/comments?post=416"}],"version-history":[{"count":2,"href":"https:\/\/www.jwmichaels.com\/wp-json\/wp\/v2\/posts\/416\/revisions"}],"predecessor-version":[{"id":1582,"href":"https:\/\/www.jwmichaels.com\/wp-json\/wp\/v2\/posts\/416\/revisions\/1582"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.jwmichaels.com\/wp-json\/wp\/v2\/media\/1690"}],"wp:attachment":[{"href":"https:\/\/www.jwmichaels.com\/wp-json\/wp\/v2\/media?parent=416"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.jwmichaels.com\/wp-json\/wp\/v2\/categories?post=416"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.jwmichaels.com\/wp-json\/wp\/v2\/tags?post=416"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}