THE COMPLIANCE Exchange - Online Store Delivers Quality Securities Exam Preparation

When you’re preparing for a securities licensing exam, you want easy access to high quality materials to gain the confidence and knowledge needed to pass. The Compliance Exchange, our new online store, offers premium exam preparation textbooks and software that are designed for this purpose. Check out our online offerings of comprehensive, well-written exam preparation materials. You can also: Preview a detailed table of contents and sample chapter for each textbook, take a trial exam by downloading a software demo, and, view sample questions and screenshots.

www.ComplianceXchange.net

IMPORTANT REMINDERS

Did You Know?

FOCUS OF NASD EXAM

Notice to Members: For your convenience, we have prepared brief summaries with links to full NTM notices.  Read More...

Meet our Staff at the NASD Small Firms Conference - Boston:

Meet Jane Abramczyk, Beverly Fetcko, Karen Hagan, and Richard Horgan at the NASD Small Firms Conference in Boston on July 17, 2007. www.nasd.com

Post "Merrill Lynch."  How to Deal With Reps and Clients

Commission Seeks Time for Investors and Brokers to Respond to Court Decision on Fee-Based Accounts

Changes to Short-sale Rules Approved by SEC

Variable Life Settlements

AML Independent Testing

A Reminder of Your Financial Responsibility as a member of the NASD

FinCEN vs. OFAC: My AML Responsibilities

Helpful Hints for RIA Firms registering in the state of Georgia

Form ADV Part II and Schedule F now online

 

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