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2018 PEM is FINRA Reviewed

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In teaming with a close partner’s Broker Dealer, the 2018 PEM screen has been submitted to FINRA and reviewed. As a result, we now have a new FINRA Review Letter for the PEM (single screen only). On September 15 2018, the software’s ‘PEM FINRA Reviewed’ that leads to a two screen presentation will be updated with the 2018 PEM and the Help file linked to the new FINRA letter, dated June 12, 2018. 

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Please review the PEM Documentation as well as the FINRA letter linked below and feel free to share with your compliance departments.

 

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