New Product Considerations for Broker-Dealers

What do you do when you add a new product to your firm’s approved offering listing?  How do your reps know that a new product has been added?  Do your policies & procedures even address new products? What sort of training do you provide?  Does your firm need to file a Continuing Membership Application (Form CMA)?  As a compliance specialist for FINRA-registered broker-dealers, we encounter these type of questions from our clients on a regular basis, including FINRA, SEC, and MSRB compliance veterans.

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