Pre-Audit RR Checklist
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Each RR of WIS is required to complete the following form 1x annually. Note: this does not relieve you from ongoing requirements to provide updates. Changes to the information should be reported to the OSJ manager or CCO as they occur throughout the year.
Completion of this form requires that you input all requested information in one sitting. Several of the questions allow you to provide your best estimates. Others require specific information. At the conclusion of the form, you will be asked to attest to the accuracy and completeness of your responses.
So, BEFORE YOU BEGIN, please gather the following:
• Your CRD number (available from BrokerCheck)
• Your Branch Office Location (Address) (available from BrokerCheck)
• Outside activities reported to BrokerCheck
• Descriptions of other outside activities, if any, including any and all sources of revenue outside
• List of seminars conducted over the past 12 months, including date, audience and topic
• Information about all outside investment accounts including custodian, purpose of the account
and title of the account
• Information about any disclosure events (complaints, liens/judgments/BKs, regulatory, civil
or criminal events) that have occurred in the most recent 15 months
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