With over 100 new FINRA regulations in the past two years, 20 of which (Financial Services Institute (FSI) estimates) will impact independent broker-dealers on a large scale, compliance is essential. Whether you are looking for guidance on communicating with the public or searching for the latest in regulatory updates, our Compliance Department is here to help you. Here are some of the highlights of how they are working to help you build a solid practice:

Expanding Compliance Services (by click, call and/or in person)

• Review of Special Requests (Outside Business Activities, etc.)
• Assess Business Risk
• Complaint Review, Research, Communication
• Liaison with the FINRA
• Liaison with the Fund Companies to Correct Errors

• Compliance Bulletins via E-mail and on the Web
• Regular Updates via JUICE on Industry Issues
• New Representative Conference Calls
• General Session Presentations at Annual Sales and Education Conference
• Prompt Turn Around on Marketing Material review

We have a well-educated and experienced compliance team that is available to you if you have questions or want their opinion. They are here to protect you and your clients and to guide you through a constantly changing regulatory environment.

"A lot of firms are cutting corners. They'll allow you to do discretionary trading, for example, or sell products that are risky. You can go ahead and make a $100,000 override - but a lawsuit will wipe that out in one time. You can give up compliance for sales today, but it will cost you."

Patrick McEvoy, President and CEO
As quoted in Research Magazine, February 2005
in an article entitled "The Costs of Compliance"