The Disclosure and Review Form for Registered Persons Holding Positions of Trust is a useful tool for meeting the requirements for receiving written notice and conducting an assessment of the risks associated with new FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer) effective February 15, 2021.  The Disclosure & Review Form allows broker-dealer firms to capture required initial request and disclosure information as well as provide documentary evidence the firm’s final assessment and determination of registered persons acting in such capacity.

Version/Update: V.1/February 1, 2021

Total Page Count/Format: 3/.pdf (form filler)

Source/Author(s): Connexien