Direct Participation Programs
Friday, August 01, 2008
To help ensure compliance with FINRA rule 2310, attached please find a new form to be used with
non-liquid investments including Direct Participation Programs (DPP) and non-publicly traded REITS.
This form should be used in addition to the required forms already in use. This should assist you in
determining if a client is suitable for the particular investment as well as help you gather additional
financial information that may not have been previously disclosed by the client.
You may begin...
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Annual Compliance and Marketing Meeting
Friday, May 23, 2008
Great News!
Brookstone Securities, Inc. will hold its first annual compliance and marketing conference on September 18, 19, and 20th of September 2008, in Poinciana, Fl. at the Omni Resort (On the edge of Orlando, 5-10 minutes from Disney).
We will have Product Sponsors, Third Party Vendors, Speakers and of course the always enjoyable compliance meeting. We realize your time is valuable and will make every effort to insure your time is well spent.
This is a mandatory meeting.
The co...
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Brookstone Securities, Inc / Huffman & Associates
Wednesday, May 21, 2008
Brookstone has a unique view of the fixed insurance product market. As always, we do not require fixed business to pass through Brookstone. We do, however, encourage and welcome fixed business. Therefore, we have entered into a solid relationship with Huffman & Associates to be Brookstone's back office for fixed insurance products. While every new relationship will have some kinks to work out, the adjustment should be quick and this will be a long relationship which will eventually appear s...
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