MEDALLION DISTRIBUTION

Act as Legal Underwriter/Distributor
Maintain & Supervise FINRA Registrations for Licensed Individuals
Client Access through Online Registered Rep Portal
Coordinate Continuing Education Requirements
Administer & Maintain Required Filings/Licenses with FINRA
Prepare, Update, Execute & Maintain Selling Agreements
Online Access Provided through Selling Agreement Management System (SAMS)
Provide Investment Company Advertising & Sales Literature Review/Approval
Online Submission, Review/Approval & Real-Time Status Updates through Adlit Review
File Required Materials with FINRA
Provide Advertising Regulatory and Disclosure Guidance
Administer Intermediary Due Diligence Program
Provide Periodic Monitoring of Financial Intermediary Relationships
Established Risk Ranking Methodology & Reporting
Perform 12b-1 Administration & Reporting
Provide FINRA COBRA Filing Administration for 1933 Act Funds