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 2025 - Dec 2024 Firm Annual Compliance Meeting 2024 - Dec 2024 Annual Compliance Certification 2024 - Jan 2025   June 2025- Annual Privacy Policy Mailing     AML Program PICI Compliance Program Ethics Training All associates are required to read
*****  2024 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 (2024 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)

FINRA CE - ONLINE - DUE EVERY YEAR

You can now complete your FINRA CE online - in your office - on your own time - no time limits!

Go to FINRA.ORG and log into FinPro and get it done early!  Open all year.