The free seven-point roster check from The Designated Broker’s Handbook, ready to use now.
Download the free checklist A4 PDF · one pageTwo things that make it stick
Open it in Adobe Acrobat Reader and tick the boxes on screen — it saves, so next quarter you can compare. Or print it and work on paper.Then set a calendar reminder for three months from today. The whole point of this checklist is that it runs on a schedule, when nothing is wrong.
Found blanks? The full 69-point supervision audit covers trust funds, advertising, transaction files, recordkeeping and branch offices, and The Designated Broker’s Handbook quotes every rule to its source.
Read about the handbook