Tag Archives: FINRA

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 […]

Posted in Advisor Marketing, Advisor-Branded Marketing Campaign (AMP), FINRA | Also tagged , , , | Comments closed