- Review, negotiate and execute selling and servicing agreements on behalf of the client with external distribution channels (national, regional, discount broker/dealers, banks, insurance companies, 401(k) plans, etc.).
- Provide principal review and filing of all sales literature and advertising materials with FINRA.
- Represent the client in all interactions with FINRA.
- Sponsor clients securities licenses.
- Maintain supervision of registered representatives.
- Provide consulting and guidance for licensing registration.
- Filing of U-4 with FINRA
- FINRA fingerprint hard card and instructions, filing with FINRA
- Firm Element Continuing Education via Internet courses
- Notification of Regulatory Element of Continuing Education
- Policies and procedures compliance manual
- Annual compliance training
- Periodic regulatory updates
- Opening of "Test Window" with FINRA
- Assistance with ordering licensing study materials and/or class reservation
- Coordinate FINRA and state licensing
- Initial Compliance Meeting