No More Paper!!!

The SEC, NASD and State regulators do not require you to store paper tickets, account pages, cross-reference pages or blotters. You just have to be able to print them on demand. Check with your compliance officer for your firm requirements.

Where have you

hidden the paper?

A financial advisor must have lots of paper!!

The SEC, NASD and State regulators do not require you to store paper tickets, account pages, cross-reference pages or blotters. You just have to be able to print them on demand. Check with your compliance officer for your firm requirements.