No Comment: Our FINRA Letter Finally Arrives

Our compliance ship came in today.

After months of waiting and extraordinary service from Ken in VSR‘s compliance department (one of their advisors signed up for an Advisor-Branded Marketing Platform (AMP)), we received a No Comment Letter from FINRA:

This is great news for any advisor who wants to use AMP and currently has to run advertising materials (though we don’t think of ourselves in this way, FINRA sure does) by a compliance team at their broker-dealer.  It’s our understanding that compliance letters don’t come any cleaner than this.  It’s great news as we head to FPA’s Business Solutions conference next week in Dallas.

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