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This document provides detailed instructions on completing a Rule 407 letter. It includes essential templates and examples for FINRA members. Follow the guidelines to ensure compliance and avoid conflicts of interest.
This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. To find a form, either select the appropriate category below or scroll through the full list of SEC forms in alphanumeric order.
record. Please forward (effective the date you receive this letter) all duplicate confirmations and statements to the address below. We prefer to receive this information electronically; if you can provide the data feeds, please do so [insert file type of FTP address]. Otherwise, please send paper copies to: Attn: Chief Compliance Officer RIA NAME
Once complete, please email this form to accounts@tastytrade.com. Your tastytrade account will be pending until we receive your firm's approval. A ue 1 tasttrade Person's account(s) be sent to the above compliance address (tastytrade cannot send requested documents electronically at this time):
11 sty 2010 · Many examine employees’ brokerage statements and trade confirms. Peter Mafteiu of Sound Compliance Services shared a template for a so-called “407 letter,” which compliance officers often use to request documents from brokers.
Send 407 letter via email, link, or fax. You can also download it, export it or print it out. 01. Edit your 407 letter template online. Type text, add images, blackout confidential details, add comments, highlights and more. 02. Sign it in a few clicks. Draw your signature, type it, upload its image, or use your mobile device as a signature pad.
EDGAR requires that official documents—attached to electronically submitted filings—be formatted as one of the following: HTML, American Standard Code for Information Interchange (ASCII), or, when specific criteria are met, Portable Document Format (PDF).
