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3/8/2023: Compliance - RegEd updates for the new correspondence and advertising tool. Product - Clearing firm ACH updates and the new research area launching from Cambridge. Presentation by Voya
3/8/2023: Compliance – RegEd updates for the new correspondence and advertising tool. Product – Clearing firm ACH updates and the new research area launching from Cambridge. Presentation by Voya
Weekly Rep Calls – 2023, Weekly Rep Calls – 2023 Mar
3 views
3/1/2023: Compliance - RegEd updates from Cambridge. Product - New Inland product approved and MarketCentral enhancements. A Presentation by United Life
3/1/2023: Compliance – RegEd updates from Cambridge. Product – New Inland product approved and MarketCentral enhancements. A Presentation by United Life
Weekly Rep Calls – 2023, Weekly Rep Calls – 2023 Mar
2 views
2/22/2023: Compliance - Hard Copy correspondence reminder and Advisory Paperwork requirements. Product - New Equitable enhancements and upcoming webinar. Presentation by Horizon.
2/22/2023: Compliance – Hard Copy correspondence reminder and Advisory Paperwork requirements. Product – New Equitable enhancements and upcoming webinar. Presentation by Horizon.
Weekly Rep Calls – 2023, Weekly Rep Calls – 2023 Feb
1 views
How an OBA can turn into a PST
How an OBA can turn into a PST
Practice Management
11 views
2/15/2023: Compliance - Texting Solutions and update on Promoters. Product - New Preferred Securities and an update to the SmartAsset Program. Presentation by Jackson
2/15/2023: Compliance – Texting Solutions and update on Promoters. Product – New Preferred Securities and an update to the SmartAsset Program. Presentation by Jackson
Weekly Rep Calls – 2023, Weekly Rep Calls – 2023 Feb
12 views
January Compliance Minute
January Compliance Minute
Monthly Compliance Minute, Monthly Compliance Minute - 2023
9 views
2/8/23: Compliance - Understanding an OBA becoming a PST. Product - CAAP watch list companies, preferred stock offering closing. Presentation by AssetMark
2/8/23: Compliance – Understanding an OBA becoming a PST. Product – CAAP watch list companies, preferred stock offering closing. Presentation by AssetMark
Weekly Rep Calls – 2023, Weekly Rep Calls – 2023 Feb
10 views
2/1/2023: Compliance updates on Books & Records, FINRA CE requirements, new communication updates, and a presentation by The Pacific Financial Group
2/1/2023: Compliance updates on Books & Records, FINRA CE requirements, new communication updates, and a presentation by The Pacific Financial Group
Weekly Rep Calls – 2023, Weekly Rep Calls – 2023 Feb
8 views
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.
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.
Weekly Rep Calls – 2023, Weekly Rep Calls – 2023 Jan
6 views
1/18/2023: 2022 Enterprise Year In Review
1/18/2023: 2022 Enterprise Year In Review
Practice Management
11 views
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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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