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COMPLIANCE ALERT To: 201504 All Brokers From: Dirk Van Reveled, CCO RE: UIT Sales Charge and Price Breaks Date: 11/12/2015 On July 24, 2014, the firm provided a Compliance Alert about the FIRAS guidance
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Compliance alert 04 is a notification of non-compliance with regulatory requirements.
Entities subject to specific regulations or reporting requirements are required to file compliance alert 04.
Compliance alert 04 can be filled out electronically through the designated reporting system.
The purpose of compliance alert 04 is to notify regulatory authorities of non-compliance issues.
Compliance alert 04 must include details of the non-compliance issue, its impact, and proposed corrective actions.
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Relevant keywords

2015 2014 UIT CDSC FINRA UITs breakpoint SIPC May-2015 unmanaged repurchases Krevelen Feltl CCO FINRAs denoted suitability purchaser annuities rollover liquidation audits Deferred leveraged regulatory solicited consisting dividend rationale Acknowledgemen

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