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2018 PEM is FINRA Reviewed


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. 


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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