Commission-Based Brokerage Business
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1 Commission-Based Brokerage Business This section is intended to help us better understand the and product mix associated with your commission-based business. Please respond to this section if your firm reported revenue in fiscal year 2013 in the "Commissions" section of the Supplemental Statement of Income (line item 13940) and/or if this represents a material aspect of your overall business. For additional guidance on materiality, please see the FAQs. *Please indicate which of the following businesses you engage in within your commission-based business (select all that apply): High-net-worth Other (please specify)
2 Commission-Based Brokerage Business Through which of the following distribution channels do you interact with your in each of your commission-based businesses? Branch Phone Web Integrated voice response (IVR) High-net-worth *What approximate percentage of your firm's gross commission revenue (rounded to the nearest whole number between -100 and 100) did each of the following business lines contribute? For additional guidance on this question, please see the Instructions. High-net-worth Other Total: 0/100
3 Commission-Based Brokerage Business This series of questions is intended to help us better understand the business mix associated with your business. Please indicate the clients or counterparties to which your firm sells or markets the following products. *Equities *Listed equities *Over-the-counter equities (other than penny stocks or low-priced securities) *Penny stocks or low-priced securities *Leveraged exchange-traded funds *Exchange-traded REITs *n-exchange-traded REITs *1031 tenancy in common *Unregistered securities *Investment Company Products *529 Plans *Business development companies *Closed-end funds *Commodities futures funds *Exchange-traded funds (ETFs) *Money market mutual funds *Mutual funds *Unit investment trusts
4 *Debt *U.S. government debt *Municipal securities *Foreign sovereign debt *Investment-grade corporate debt *High-yield corporate debt *Auction rate securities *Baby bonds *Certificates of deposit (CD) *Commercial paper *Exchange-traded notes (ETNs) *Leveraged loan products *Securitized Debt Instruments *Asset-backed commercial paper (ABCP) *Residential mortgage-backed securities - agency *Residential mortgage-backed securities - non-agency *Commercial mortgage-backed securities *Collateralized debt obligations *Other asset-backed securities
5 *Other asset-backed securities (e.g., credit card receivables, student loan receivables) *Derivatives *Commodity swaps *Credit default swaps (CDS) *Currency swaps *Forex (options, forwards or futures) *Interest rate swaps *Futures *Listed options *Over-the-counter options *Alternative Investment *Alternative mutual fund *Fund of funds *Hedge funds *Precious metals *Private equity funds - affiliated *Private equity funds - non-affiliated
6 *Insurance Products and Annuities *Equity-indexed annuities *Fixed annuities *Variable annuities *Life settlement / viaticals *Structured Products *Commodity-linked notes *Credit-linked notes *Equity-linked notes *Foreign exchange-linked notes *Interest rate-linked notes *Inverse exchange-traded funds *Market-linked notes *Principal-protected notes *Reverse convertible securities
7 *Proprietary Products *Affiliated hedge funds *Closed-end mutual Funds (CEF) *Direct participation plans (DPPs) *Promissory notes *Proprietary mutual funds *Real estate investment vehicle
8 Retail Full-Service Brokerage Business This section is intended to help us better understand the risks and mitigating controls associated with your commission-based full-service business. *Are all registered representatives who interact with investors required to conduct all work related activities from company facilities?, in all cases, in some cases *How often does your firm reassess the investment objectives, risk tolerance and liquidity needs of beyond the initial account-setup process? te: We recognize that SEA Rule 17a-3 requires firms to attempt to update certain account information every 36 months. This question, howev er, is not intended to gauge compliance with SEA Rule 17a-3. Monthly Quarterly Annually Other (please specify) *Are transactions monitored in accounts for deviations from stated investment objectives?, in all cases, in some cases *Are cash balances from your client accounts swept nightly into an affiliated bank?
9 *Does your firm buy, sell or liquidate unregistered penny stocks/low-priced securities on behalf of its? *How does your firm receive its penny stocks/low-priced securities (select all that apply)? Via physical certificates DWAC (Deposit/Withdrawl at the Custodian) Other (please specify) Does your firm require engaging in unsolicited penny stocks/low-priced securities transactions to fill out a questionnaire regarding the source and nature of the shares? *Who prepares and distributes your firm's statements (select all that apply)?
10 The firm prepares and distributes its own statements. An affiliate of the firm prepares and distributes statements on behalf of the firm. The firm's non-affiliated clearing agent prepares and distributes its statements on behalf of the firm. Other (please specify) *Does your firm provide consolidated statements to its? *Does your firm allow its -facing registered representatives to engage in investment related outside business activities? Optional comments *Does your firm employ an automated investment advice solution to assist its registered representatives with investment recommendations to?
11 *Are managers of the sales platform compensated based on a percentage of the revenue the registered representatives under their supervision generate?, in all cases, in some cases *Does the supervisor of the sales platform independently contact a representative sample of the of registered representatives under their supervision to periodically validate that are aware and approve of transactions executed on their behalf? *Does someone independent of the sales channel (e.g., audit, compliance) periodically contact a sample of of the firm to validate that are aware and approve of transactions executed on their behalf? *What is the ratio of registered representatives to supervisory personnel?
12 te: Enter the number of registered representatives in the top input box and the number of supervisory personnel who are responsible for managing them in the bottom input box. *Registered Representatives *Supervisory Personnel *Are the supervisors who oversee the sales activity of facing registered representatives located in the same facility as those registered representatives under their supervision?, in all cases, in some cases *Does your firm have producing managers who are responsible for supervising registered representatives who interact with the public? *Are the investment objectives of your firm's independently reviewed during the account-opening process (e.g., by someone other than the registered representative who handles the account)?, in all cases, in some cases
13 *Can registered representatives update account profile information (e.g., contact information, home address, investment objectives) in the system of record without additional approval or confirmation processes? *Does your firm obtain positive affirmation of address or other account profile changes?
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