Compliance

Yes. Once you subscribe to Platinum, all of our materials are yours to use as you see fit. That includes posting them on your website, in magazines, newspapers, or in any other print or online format.

We have found that each compliance department operates differently, and we try to meet whatever requirements they set. In some cases they review all of our materials in advance and provide approval codes. In other cases, they require each rep to submit pieces individually. Regardless of what your compliance department requires, we will do our best to accommodate them so that the process is easy for you. And since all of our materials have already been reviewed by several compliance departments, they are extremely compliance friendly.

To streamline the process for you, we will submit the commentary to them each week on your behalf. To get this process started, contact the person at your broker dealer who supervises compliance and let them know we are helping you with your marketing. Tell them you would like them to work with us to expedite your compliance approvals. Then, give us their name and contact information and we will reach out to them on your behalf. We have an excellent track record of working with compliance departments, and we will do everything in our power to meet their requirements.

Yes, we do. That being said, most of our products do not require FINRA review because they do not reference specific products such as variable annuities and mutual funds. Whenever a FINRA review is required, we provide one. When it is not required, your broker dealer has discretion to approve the material.

There is a good possibility. Our list of approved broker dealers grows almost every day. Feel free to call our office at 877-421-5593 and we will be happy to check. If we do not already have a relationship with your broker dealer, we would love to forge one. Just give us the contact information of the best person to speak with, and we will do everything in our power to have them added to our list.