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17a-4 Letter

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Kevin Postigo

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

    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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