11/29/2023: Compliance – FINRA CE requirements and accepting client instructions via email. Product – Bamboo Marketing update, two webinars, and cashiering best practices. Presentation by Capital Group Peri Notes: Click here to download the PDF Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 Nov 2 views You may also like 2/8/23: Compliance – Understanding an OBA becoming a PST. Product – CAAP watch list companies, preferred stock offering closing. Presentation by AssetMark 12 views Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 Feb 2/1/2023: Compliance updates on Books & Records, FINRA CE requirements, new communication updates, and a presentation by The Pacific Financial Group 9 views Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 Feb 1/25/23: Branch Meeting reminder, changes to the fiduciary review process, a new high yield liquid cash account option, and a presentation by First Trust. 8 views Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 Jan 1/18/2023: 2022 Enterprise Year In Review 5 views Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 Jan 1/11/2023: Compliance – Reminder about upcoming correspondence & Adview changes. Product – Equitable contracts added as Fee Friendly. Presentation by Ashford Securities. 5 views Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 Jan 1/4/2023: Compliance – Upcoming Correspondence and Adview changes. Product – Forms changes and Secure Act 2.0 Call. Presentation by the Duncan Life Brokerage General Agency. 4 views Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 Jan «1…345Page 5 of 5
