WELCOME TO THE ADVISOR RESOURCE PAGE
I. GETTING STARTED
II. PRODUCTS AND SERVICES
IV. COMPLIANCE ALERTS
19-01 March 5, 2019 - Updated Written Supervisory Procedures
18-03 July 23, 2018 - Vendor Promotional Training and Sponsored Seminars
18-02 April 4, 2018 -Senior Investors: New FINRA Rules – Trusted Contact
18-01 February 7, 2018 - Senior Investors - New FINRA Rules
17-01 March 24, 2017 - Serving as Trustee or Executor
16-04 May 31, 2016 - Guidance: Social Media
16-03 April 20, 2016 - Interval Funds
16-02 January 21, 2016 - Further Guidance: Alternative Products GWG Holdings, LLC
16-01 January 8, 2016 - Social Media - Polices and Procedures
15-04 March 27, 2015 - Updated Variable Annuity Acknowledgement Form
15-03 March 2, 2015 - Updated Variable Annuity Acknowledgement Form
15-02 February 5, 2015 - IRA Rule Changes
14-04 December 9, 2014 - Social Media
14-03 September 30, 2014 - New Illiquid Asset / Private REIT Disclosure Form
14-02 September 11, 2014 - Revisions To New Account Packages
14-01 February 24, 2014 - Revised New Account Forms
13-05 December 13, 2013 - New Illiquid Asset/Private REIT Disclosure Form
13-04 August 1, 2013 - ERISA Covered Plan Procedures
13-03 July 30, 2013 - ERISA Covered Plan Disclosures
13-02 May 16, 2013 - Revised Letter of Intent to Switch Investment
13-01 February 5, 2013 - Alternative Products
12-09 December 31, 2012 - Social Media
12-08 December 20, 2012 - Updated Client Disclosures
12-07 October 26, 2012 - Updated Written Supervisory Procedures
12-06 July 25, 2012 - New ERISA Covered Plan Procedures
12-05 July 24, 2012 - Revised Private REIT Disclosure Form
12-04 July 23, 2012 - Client Investment Objectives
12-03 July 17, 2012 - Updated New Account Forms
12-02 March 21, 2012 - Green Dog Update
11-08 October 6, 2011 - Updated WSP
11-07 October 3, 2011 - Electronic Communications (E-Mail)
11-06 October 3, 2011 - OSJ /Designated Principal Review
11-05 October 3, 2011 - Sponsor Paid Events and Vendor Reimbursements
11-04 October 3, 2011 - Customer Complaints
11-03 September 15, 2011 - Updated WSP
11-02 April 13, 2011 - Revised Disclosure Forms
11-01 January 3, 2011- Equity-Indexed Products
10-08 July 7, 2010 - Massachusetts Data Protection Law
10-07 July 7, 2010 - Massachusetts Data Protection Law
10-06 April 7, 2010 - Updated Written Supervisory Procedures
10-05 March 16, 2010 - Equity-Indexed Products
10-04 March 5, 2010 - Updated New Account Form and Account Update Form
10-03 February 5, 2010 - Updated Written Supervisory Procedures
10-02 January 21, 2010 - Updated Variable Annuity Replacement Acknowledgement
10-01 January 11, 2010 - Errors & Omissions Insurance
09-10 November 16, 2009 - Security and Protection of Client Information
09-09 October 15, 2009 - Important Account Opening Information
09-08 August 19, 2009 - Mutual Fund B Disclosure Form
09-07 July 6, 2009 - Updated WSP and Broker Handbook
09-06 June 10, 2009 - New and Updated Insurance Disclosure Forms
09-05 May 20, 2009 - Updated New Account Form
09-04 February 10, 2009 - Advisory / Solicitor Business
09-03 January 29 2009 - Pre Approved Letter
09-02 January 28, 2009 - New Required Forms
09-01 January 12, 2009 - Errors and Omissions Insurance
08-07 December 24, 2008 - High Yield and Cash Alternatives
08-06 December 12, 2008 - VA Disclosure Forms
08-05 October 15, 2008 - Documents to Accompany New Account Form
08-04 June 19, 2008 - Use of Professional Designations
08-03 May 13, 2008 - Electronic Communications
08-02 May 2, 2008 - Variable Annuity Sales
08-01 January 28, 2008 - Error's and Omissions Insurance
07-09 December 17, 2007 - Written Supervisory Procedures Revisions
07-08 July 10, 2007 - Signature Medallion Stamp Education
07-06 May 31, 2007 - Compliance Notice Reminder on Open Orders
07-05 May 15, 2007 - SEC Imposters
07-04 May 4, 2007 - Options Disclosure Document
07-03 January 16, 2007 - Money Laundering Training
07-07 June 5, 2007 - Free Look Periods
07-02 January 10, 2007 - Errors and Omissions Insurance
07-01 January 8, 2007 - Web Sites and Use of NASD Name
06-06 October 10, 2006 - Annual Compliance Questionnaire
06-05 October 10, 2006 - Firm Element Continuing Education
06-04 October 10, 2006 - Compliance Management System
06-03 August 15, 2006 - Updated Private REIT Disclosure Form
06-02 August 11, 2006 - Compliance Management System/Continuing Education
06-01 January 11, 2006 - Errors and Ommisions
05-03 August 22, 2005 - Equity Indexed Products
05-02 August 18, 2005 - Selling Away
05-01 August 18, 2005 - Announcement of Alerts
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