Has anyone else received an email like the one below? Followed with a DocuSign link to upgrade the account to a plan that does meet these requirements?
Trying to determine if this is accurate, have not been able to speak to anyone to verify
As you are aware, the Financial Services industry requires strict adherence to FINRA compliance when storing records that pertain to securities exchanges. Given that you are listed as a Financial organization in our records, I wanted to make you mindful that, at present, your account is not set up to meet those standards.