We have received FINRA review letters for seven of our booklets. Either no adjustment were required to the booklet or the adjustment has been made as documented in the links below.
It is the advisor's responsibility to check with their broker dealer and follow their compliance rules.
Six Strategies to Help Retirees Reduce Taxes - No Changes - Download Letter
Helping You Avoid IRA Distribution Mistakes - No Changes - Download Letter
Annuity Owner Mistakes - No Changes - Download Letter
Six Best & Worst IRA Rollover Decisions - No Changes - Download Letter
For Those Who Want to Prosper & Thrive In Retirement - Updated - Download Letter
Retire Smart-A Simple Guide to Retirement - Updated - Download Letter
How Wealthy People Use Professional Money Management - Updated - Download Letter
Note: We DO NOT have any other FINRA letters for the other booklets. If you need FINRA letters for other booklets, OR you want to get new FINRA review letters for any of the booklets, you can have your Broker Dealer submit booklets to FINRA for review and we will reimburse the fee upon receipt of the FINRA letter copy (we are not a Broker Dealer and only Broker Dealers can submit to FINRA).
Your other options are:
- Use your own firm’s materials rather than our materials
- You can download a Microsoft word copy of the booklets and modify however your compliance department would like (must have an account to download these files)