Deadlines to have your FINRA Regulatory Element CE and Annual Compliance Meeting completed are approaching fast!
November 30, 2023 – Deadline for completing FINRA Regulatory Element CE
December 31, 2023 – Deadline for Annual Compliance Meeting completion
Other Important Dates
2023 Premiere Select Retirement Account Annual Maintenance Fee Cycle
January 5th, 2023, through January 27th, 2023 – Liquidation/Write Offs – Accounts with eligible securities will be liquidated to cover uncollected fees or written off and charged to the advisor on record (if less than $25).
Compliance Deadlines
February 28, 2024 – Deadline for Firm Element CE completion
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