Tag: 17a-4

Document Rollover Recommendations with Confidence

In today’s stringent regulatory environment, maintaining accurate and accessible compliance records is paramount. FINRA’s recent enforcement actions underscore the serious consequences of disparate record management, particularly when rollover data is deleted or mishandled. InvestorCOM provides industry-leading solutions for secure and compliant record retention of rollover recommendations. With RolloverAnalyzer‘s 𝐍𝐚𝐭𝐒𝐯𝐞 π‘πžπœπ¨π«π 𝐊𝐞𝐞𝐩𝐒𝐧𝐠 and π–πŽπ‘πŒ π‘πžπ©π¨π¬π’π­π¨π«π², your […]

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