Examples of Letters/Emails Generated
Compliance Questionnaire
1. State Registration.
There is a question that asks if the Rep knows which states they are registered in, AND the form provides a link to Brokercheck for their review.
When the Rep SUBMITS attestation > if the Rep answers "NO", an automatic email is sent:
2. Permitted actions based on license held.
There is a question that asks if the Rep knows which actions they are allowed to perform, AND the form provides a link to FINRA describing permitted activities for each license for their review.
When the reviewing the attestations:
- a bright RED indication on the review page/report, indicates the Rep answered YES for this question
- Button next to red answer allowing reviewer to send an email:
- (this is not automatically sent as some firms may prefer to have an in person meeting, phone call, etc.)
3. Change of Address.
Automated email sent to compliance + Rep
Employee Brokerage Accounts
1. Compliance Receipt Notification
When an EBA attestation is accepted, the following email is automatically sent:
2. Stmt Request Letter (3210/407 letter)
3. Stmt Cancellation Letter
Outside Business Activities (OBAs)
Closed - Reminder to update U4
When marked as closed, and accepted/reviewed, and automated email is sent:
PreHire
1. Initial email to candidate
1a. Pre-Hire Authorization Form:
Form CRS Delivery Email
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