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
Quarterly Review   AML Program Qtr 1 2019 Qtr 2 2019 Qtr 3&4 2018 Qtr 1&2 2018 Qtr 1&2 2017 Qtr 3&4 2017 Qtr 1 2016 Qtr 2&3 2016 Qtr 4 2016   PICI Compliance Program       Compliance Calendar   ACC Completion due by 4-1-19 June - Annual Privacy Policy Mailing FINRA Renewals - Nov 2019
*****  2019 ANNUAL COMPLIANCE PROGRAM  ***** PICI Compliance Meeting (online video presentation & review questions) PICI Compliance Meeting Outline (print to follow along with meeting) ACC Annual Compliance Certification (2019 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!

Contact the Home Office for information