Broker compliance
Know what your broker still needs before closing
Track your broker’s file (the documents your broker must approve), using your brokerage’s own checklist.
- Check each document’s broker status.
How it works
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Apply your checklist
Use required documents.
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See what’s missing
Missing, waiting or accepted.
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Check before commission
File check, then commission form (CDA).
What you still decide
- Set the brokerage’s requirements.
- Decide which documents are acceptable.
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