17a-4 Letter

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Kevin Postigo

• April 17, 2024 13:51

Hello,

As a FINRA-registered broker-dealer, we are required to access a 17a-4 letter to meet our regulatory compliance obligations. Please let me know the process for obtaining this letter.

Thank you!

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  Rona

  • April 17, 2024 19:59

  Hi Kevin, 

  Welcome to Box Community! 

  It indicates that you have already collaborated with one of our team members. Please keep an eye out and we'll stay in touch. 

  Thanks for posting! 

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