SPM
This broker-dealer requires Advisors to submit correspondence to the Home Office on a monthly basis.
WHO IS WOODBURY?
This company was founded by James Cash Penney.
WHAT IS JC PENNEY?
Any political contribution deficiencies should be referred to this group.
WHAT IS IA COMPLIANCE?
Advisor complaints are housed in this system.
WHAT IS LEGAL TRACKING SYSTEM (LTS)?
This fictional character appeared in more than 100 commercials since 2008 for Progressive Corporation.
WHO IS FLO?
The Advisor Practice Review is to be conducted by this person.
WHO IS THE FIRST LINE SUPERVISOR (FLS)?
WORM is the acronym for this format.
WHAT IS WRITE ONCE, READ MANY?
This module will implement the ARQ component in 2019.
WHAT IS DESKTOP (DEM?)
The BOE Calendar is built to accommodate this number of weeks of travel.
WHAT IS 22?
Wendy’s popularized this phrase.
WHAT IS "WHERE'S THE BEEF"?
Advisors located in the states of AL, IL, IA, MI, NJ, and SC are required to include the name of the Firm in this type of greeting.
WHAT IS TELEPHONE?
AFLAC is the acronym for this popular insurance company.
WHAT IS AMERICAN FAMILY LIFE ASSURANCE COMPANY?
In 2019, Advisors will no longer be required to complete this training.
WHAT IS SOCIAL MEDIA?
Sharepoint houses this database for Examiners to check during the Pre-Audit.
WHAT IS EXAM ALERTS?
Matthew McConaughey is now promoting this luxury automobile.
WHAT IS LINCOLN?
The Firm does not allow individuals to do this with their licenses.
WHAT IS PARKING?
IBM is the acronym for this popular technology company.
WHAT IS INTERNATIONAL BUSINESS MACHINES?
The Annual Practice Review section of the OSJ has been renamed to this.
WHAT IS ADVISOR PRACTICE REVIEW?
Airfare travel must be booked no less than this amount of time.
WHAT IS 14 DAYS?
This famous “golden girl” appeared as a football player in a Superbowl Snickers commercial.
WHO IS BETTY WHITE?
Representatives are required to have this minimum level of encryption.
WHAT IS 256-BIT?
CVS is the acronym for this popular pharmacy.
WHAT IS CONSUMER VALUE STORES?
Compliance Journal 2018-11-X covers this topic.
WHAT IS CYBER-SECURITY?
At this point in time, Examiners are required to refer undisclosed liens, judgments, and bankruptcies to Compliance.
WHAT IS IMMEDIATELY?
A little boy asks a cow, a fox, a turtle, and an owl this question about Tootsie Pops.
HOW MANY LICKS DOES IT TAKE TO GET TO THE CENTER?