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UPDATED 01/16/2012



NEWSLETTER: 2012 January Newsletter CURRENT MANDATORY READING MEMOS C12-14 Consolidated Reporting (Reminder) PREVIOUS MANDATORY READING MEMOS L11-66 Advanced payment for 2013 Errors & Omissions Ins Prem CM11-67 2012 WRP Investments, Inc. Commission Dates CM11-68 Commissions Department Policies C12-00 Notice to Representatives C12-01 Out of State Licensing C12-02 Signature Guarantee C12-03 Power of Attorney C12-04 Direct Business Submission Policy C12-05 New Business Reminders C12-06 Investor Data Forms and Resolutions C12-07 Fixed Indexed Annuity Policy C12-08 Request for Information Policy C12-09 Business Log Requirements C12-10 Checks Stocks Received and Forwarded Blotter C12-11 Document Retention Policy C12-12 Advertising Submission Policy C12-13 Review and Retention of Customer Correspondence B12-14 Reminder Leveraged ETF Training

ETF TRAINING

Exchange Traded Funds (ETFs) Tutorial by Ken Hawkins at Investopedia

NYSE Informed Investor - What you should know about Exchange Traded Funds

FINRA Regulatory Notice 09-31 Non - Traditional ETFs

FINRA Non-Traditional ETFs FAQ

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