Broker Check

Compliance and Supervision Support

  • Ongoing Compliance and Supervision
    • Email Review
    • Trade and Transactional Review
    • Hold Reports
    • Strategy Recommendation Reports
  • Monthly Communications
    • Best Practices
    • Regulatory Insights
    • Compliance Updates
    • Policy Updates
    • Common Audit Findings
  • Audit Assistance (3 year cycle)
  • Licensing and Registration Support
    • State Licenses – Additions and Removals
    • Branch Address Changes
    • NRA Onboarding
    • Terminations
    • New Rep Number
    • OBA Submissions
    • Exam Window Opening
  • Advertising and ‘Communications with the Public’ Approvals
  • Business Collateral Guidance
  • Compliance Pre-Approvals for Annuity products