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Mandatory Compliance Certification Can Now Be Completed On Your Time, Online

The mandatory compliance certification for A. B. Nicholas’s currently registered agents is now available for completion online, including registration, video training, and the Certification Test.

Current agents who have not registered by April 1, 2019 will not be permitted to refer or receive fees pursuant to any LeverageLine transaction at A. B. Nicholas. We therefore urge all current agents to register as soon as possible. (Future agents will have three business days to complete the certification process).

This process has been mandated by A. B. Nicholas’ licensed lending institution partners to ensure compliance with applicable FINRA regulations for those who refer clients into securities-based credit line programs. We therefore urge all to register and complete the process as soon as possible.

NOTE: The Compliance Test will be down for maintenance until 9AM March 26 EDT. Please bookmark the page when you get to it, and return to complete the test after March 26 at 9AM.

 

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