The Broker-Dealer Identity Theft Prevention Program (ITPP) Red Flags Event Log serves as a useful tool for recording and tracking red flag events under Regulation S-ID (“Red Flags Rules”) which requires SEC registered broker-dealers, investment companies, and investment advisers that are financial institutions or creditors to periodically evaluate whether they offer or maintain covered accounts.  The customizable Log includes eleven separate columns/sections for recording and tracking red flag events as well as addressing certain regulatory focal points often highlighted during the FINRA broker-dealer examination process. Members also downloaded Broker-Dealer Identity Theft Prevention Program (ITPP) Under the Red Flags Rules.

Version/Update: V.2/October 25, 2021

Total Page Count/Format: 1/.xlsx (landscape)

Source/Author(s): Connexien