COMPLIANCE

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Risk comes from not knowing what you are doing......                                                             Warren Buffet

Compliance is the center of all regulatory efforts of a broker dealer.  Regulators perform risk assessments based on certain criteria and determine if we complied with what we need to do and say we are doing.  Compliance and education go hand in hand, you can't do one without the other.	Real Education must ultimately be limited to men and women who insist on knowing. The rest is mere sheepherding....            Ezra Loomis Pound
Compliance Calendar   FINRA Renewals - Dec 2022 Firm Annual Compliance Meeting - Dec 2022 Annual Compliance Certification - Dec 2022   June 2022 - Annual Privacy Policy Mailing     AML Program PICI Compliance Program Ethics Training All associates are required to read
*****  2022 ANNUAL COMPLIANCE PROGRAM  ***** applicable documents and links are on forms & docs page PICI Compliance Meeting (Go To Meeting Recorded Link) PICI Compliance Meeting Outline (PDF to use to follow along with meeting) ACC Annual Compliance Certification (2022 ACC - online certification) ACC Reporting Page (CRP - online - use for reportable answers on ACC if applicable) Annual Compliance Program Attestation (use to certify completion of compliance program)

Need to satisfy your FINRA Regulatory CE Window?

You can now complete your FINRA CE

online - in your office - on your own time - no time limits!

Go to FINRA.ORG and sign up for a FinPro logon if you haven't done so already.