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COMPLIANCE ALERT To:201503All BrokersFrom: Mitchell Edwards, COO RE:Trading Policies: Cancel/Rebills, Taking Client Orders, Worthless Stock Salesman: 8/4/2015 As we transition roles in the Trading

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What is compliance alerts - feltl?

Compliance alerts - feltl are notifications sent out to inform individuals or organizations about potential violations of compliance regulations or guidelines.

Who is required to file compliance alerts - feltl?

Certain individuals or organizations involved in regulated industries are required to file compliance alerts - feltl.

How to fill out compliance alerts - feltl?

Compliance alerts - feltl can be filled out by providing relevant information about the potential compliance violation and submitting it through the specified channels.

What is the purpose of compliance alerts - feltl?

The purpose of compliance alerts - feltl is to notify stakeholders about potential compliance issues and prompt them to take appropriate actions to rectify the situation.

What information must be reported on compliance alerts - feltl?

Compliance alerts - feltl must include details about the potential compliance violation, the persons or entities involved, and any relevant documentation or evidence.

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