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Books & Records Letter Generation

Automate and streamline letter generation to your Customers as required by FINRA and the SEC.

Changes made to Customer and Master Accounts are tracked within the BRACS Audit Trail Viewer. The Home Office can easily see data before and after a change, along with the user credentials for the person that made the change and when.

Letters can be generated from BRACS in PDF format and exported to an external print service for mailing. Data for letters can also be exported in Excel or XML formats to send to a 3rd party for mail merge and printing services. The history viewer in BRACS will show the Home Office all Books & Records (B&R) letters that have been generated for a customer.

Standard BRACS Letters

  • New Account Profile (NAP) Letter
    • Created and sent to all owners on a new Master Account, detailing customer and account data on file with this Registration
  • Revised Account Profile (RAP) Letter
    • BRACS will work with your team to define data change rules and how they trigger this letter
    • This letter is sent to the customer, listing all their Master Accounts in BRACS
    • Can be configured to showcase data changes that triggered the letter
    • When this letter goes out, it will reset the 36-month date for the next 17a-3 letter
  • Change of Address (COA) Letter
    • Can be sent to both the old and new addresses on file for the customer 
  • 36 Month Letter (17a-3)
    • Based upon the customer open date in BRACS, a 36-month letter is generated to the customer listing all customer and account data on file for them
  • Privacy Policy Mailings
    • BRACS can support your firm's annual Privacy Policy mailings
  • Customer Information Profile (CIP)
    • BRACS can create a CIP extract triggered by certain customer-related data changes for your firm to send to a 3rd party service for validation

B&R for Brokerage Accounts

Standard BRACS Books & Records letters are for direct business. BRACS offers a premium service to generate B&R letters for your brokerage business, should this be a requirement for your firm.

In this instance, BRACS will bring in customer data from your clearing firm, including compliance data elements on the Name & Address file. BRACS will compare data from your clearing firm to data held in BRACS. An exception report of differences can be created for your team to resolve. Data elements can be updated in BRACS and directed back to the clearing firm to reconcile data sets between systems, maintaining BRACS as your golden source of Enterprise data.

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