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January Compliance Minute

January Compliance Minute

Notes: Click here to download the PDF

Monthly Compliance Minute, Monthly Compliance Minute - 2023

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2/8/23: Compliance – Understanding an OBA becoming a PST. Product – CAAP watch list companies, preferred stock offering closing. Presentation by AssetMark 2/15/2023: Compliance – Texting Solutions and update on Promoters. Product – New Preferred Securities and an update to the SmartAsset Program. Presentation by Jackson

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Securities offered through Registered Representatives of Cambridge Investment Research, Inc., a Broker/Dealer, Member FINRA/SIPC. Investment advisory services offered through Investment Advisor Representatives of Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor. Each company is independently responsible for the products and services they provide. Representatives of Cambridge Investment Research, Inc. do not provide tax or legal advice in their roles as registered representatives. Cambridge and Duncan Advisor Resources and its subsidiaries are separate entities.

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