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

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