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Christopher Winn
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106 followers
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Nice summary of the conflicts by Mark Elzweig.

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REMINDER: 2014 Annual Registration Fees
REMINDER: If you have not paid your 2014 registration or notice filing fees, keep reading! The registration of and its advisory persons expire on December 31st each year. To maintain the registration of and your Investment Advisor Representative(s), you mus...

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FINRA - Preliminary Renewal Statements (2014)
Dear Advisor: The registration of and its advisory persons expire on December 31st each year. To maintain the registration of and your Investment Advisor Representative(s), you must pay the required fee by December 13, 2013. You may have received an email f...

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Massachusetts lists deficiencies in "Switch Adviser" exams
In the wake of Dodd-Frank, the Massachusetts Securities Division added approximately 140 advisors that did not meet the asset requirements of the new SEC regulations. The MA Securities Division has visited approximately half of them to date and plans to vis...

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FINRA Bank Change
FINRA is changing the way they handle payments made to their bank and E-Bill system. Please see the FINRA notice below. In February 2014, FINRA will switch its banking services to a new bank. As part of this transition, FINRA will simplify the methods firms...

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2013 NASAA Enforcement Report has been issued
The 2013 NASAA Enforcement Report has been released to the public. The report summarized the investigations, enforcement statistics, and investor relief from the 2012 review activities.. The most notable is the focus on Regulation D filings, including priva...

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FINRA has launched E-Bill. Action Required!
FINRA recently implemented a new payment system -- the E-Bill System . This system replaces the retired E-Pay system (formerly at http://epay.finra.org). What do I need to do? Every advisory firm must obtain access to this system in order to fund their acco...
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