YEAR-END ADVERTISING REQUIREMENTS

It’s that time of year again. Time to get your advertising submitted for annual review. The items that needed to be reviewed are business cards, letterhead, faxes and email signatures.

*Please note* this is annual review. Even if your advertising was approved during the year, you are required to submit it once again in order to fulfill your year-end obligations.

How Do I Submit?

Please photocopy the applicable pieces and submit with an Advertising Approval form, which can be found on the TFS web, to your OSJ or supervising principal. Also, please print a copy of your email signature to send to your OSJ, forwarding an email will not suffice. FINRA requires us to have a copy of your email signature on file with your approved advertising.

Pieces that are not submitted per the guidelines above willl not be considered not in good order. The representative and their manager shall be notified. Sole responsibility for having their advertising approved is that of the representative. Failure to have advertising approved by 12/31/14 could result in a Letter of Caution being generated. We ask for your full cooperation. It will be greatly appreciated if you can assist with getting this task completed as promptly as possible.