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Compliance Risk-Based Monitoring Program on the GPT Store

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GPT Description

Regulatory compliance resource for broker-dealer and FCM compliance departments, with PDF parsing capabilities and suggestion prompts.

GPT Prompt Starters

  • Can you break down the latest FINRA rule PDF?
  • Extract key compliance requirements from this FINRA document.
  • Summarize the compliance guidelines from this PDF.
  • Provide actionable compliance steps from the attached FINRA rules.
  • Compare my WSPs to this rule and look for gaps.
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Compliance Risk-Based Monitoring Program GPT FAQs

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