Policy and Procedures Templates for the following types of financial institutions:

Securities Broker Dealers ( download as Word file) ( download as PDF file)

Investment Advisors (coming soon)

Futures Commission Merchants ( download as Word file) ( download as PDF file)

Introducing Brokers ( download as Word file) ( download as PDF file)

Commodity Pool Operators (coming soon)

Commodity Trading Advisors (coming soon)

Money Service Businesses ( download as Word file) ( download as PDF file)

Insurance Companies (coming soon)

Dealers in Precious Metals, Stones and Jewels (coming soon)

Links to Federal Authorities and Self-Regulatory Bodies:

Securities Exchange Commission

Commodity Futures Trading Commission

National Association of Securities Dealers

National Futures Association

Financial Crimes Enforcement Network

Office of Foreign Assets Control

Financial Action Task Force

Office of the Comptroller of the Currency