Thursday Tip Archive
06/04/2026 Check Deposits and ACH Processing
-Checks and Security Log Policy
-Pershing ACH Cutoff Time Update
-Pershing/NFS Mailing Address Guide
05/28/2026 Vacation Season Operational Reminders
05/21/2026 Senior Fraud Awareness
-Protect Yourself From Common Scams
-Policy Portal - Seniors, Vulnerable Adults and Financial Exploitation
-Internet Crime Complaint Center
04/30/2026 Osaic Operational Updates
-Updated / New / Retired Forms & Content Listing
04/23/2026 ADV 2B Update
04/16/2026 Quick Reminders + What's New
04/09/2026 Gift Limits and Address Validation Deadline Update
-FINRA Regulatory Notice - Rule 3220 Update
-Osaic Communication - Client Address Validation
04/02/2026 Licensed vs Unlicensed
-Policy Portal - Affiliation, Licensing and Registration [Pgs 5-8]
03/26/2026 Policy Updates/Off Channel Communications Attestation
-Osaic - Double Dipping Policy Update
-Off Channel Communications FAQ
03/19/2026 Tax Season Reminders
-USPS Postmarking - Myths and Facts
-IRS Fact Sheet - Electronic Payments and Refunds
03/12/2026 Ideas Lab
-Ideas Lab - Quick Start Guide
03/05/2026 Client Money Movement Verification
-Money Movement Verification FAQ
-Money Movement Verification Guide
02/26/2026 Marketing and Awards Reminder
- Compliance reminders for Awards and Recognition
02/19/2026 Client and Account Data Review
01/29/2026 OneHub Highlights
01/22/2026 2026 Branch Office Exams
-Osaic Branch Office Exam Info Sheet
-Policy Portal: Outside Business Activities
-Osaic Broker Dealer Compliance
-Osaic Core Compliance Directory
01/08/2026 Back to the Basics
12/18/25 Adding a Trust in eQuipt and Where to Find Additional Resources
-Pershing Trust Knowledge Article
12/11/25 Entreda Access and Browser Update
-Entreda Access and Browser Update.pdf
12/04/25 Off Channel Communication – Quarterly Attestation Reminder
-Off Channel Communications FAQ
11/20/25 Seniors, Vulnerable Adults and Financial Exploitation
11/13/25 Annual FINRA Renewal Period
11/06/25 Structured Products and Target Outcome ETPs
10/30/25 Cryptocurrency ETP Policy Updates
10/23/25 Planning for Longevity and Capacity
10/16/25 Cybersecurity Awareness
10/09/25 Perks at Work
10/02/25 Compliance and Attestations
09/25/25 Inherited RMDs
-Inherited IRA and RMD Guidebook
09/18/25 Procedure Update & RMDs
09/04/25 Best Practice- Signature Cards
08/28/25 Death of a Client
-PROCESS MAP Life Events (NFS) Attachment
-PROCESS MAP Life Events (Pershing) Attachment
08/21/25 Annual Account Purges
08/14/25 Customize OneHub
07/31/25 Clearing Queues in OneHub
07/24/25 Audit Readiness
07/10/25 Secure 2.0 Highlights
06/26/25 ROTH IRA’s & Withdrawal Flexibility
06/19/25 Minor ROTH IRA
06/12/25 UGMA/ UTMA
06/05/25 Annuities
-ASP Scenarios Grid and Carrier Availability Attachment
05/29/25 529 Plans
-IRS Tax Benefits For Education Attachment
05/22/25 Annual Review
-Client Review Guide Attachment
-Policy Portal- Annual Review Attachment
05/08/25 Know Your Client