Targeted Examination Letters
Re: Spot-Check of Non-Traded REIT Communications
NASD Rule 2210(c) (7) states that each FINRA firm's advertisements and sales literature are subject to a periodic spot-check procedure. Pursuant to this procedure and in accordance with FINRA Procedural Rule 8210, the Advertising Regulation Department requests that you provide the following:
Please provide the information noted in Items 1 through 6 no later than October 2, 2012.
RESPONSE TO SPOT CHECK REQUEST
|TO:||Advertising Regulation Department|
|9509 Key West Avenue|
|Rockville, MD 20850-3389|
|FROM:||CRD# 00001||Reference: SR2012-0000-0000|
|123 Financial Center|
|Anytown, USA 00000|
Please check applicable response(s):
____ All Non-Traded REIT advertisements and sales literature used during the time period of January 1, 2012 – June 30, 2012 are attached.
____ No Non-Traded REIT advertisements and sales literature of any kind were used during the time period of January 1, 2012 – June 30, 2012.
____ All Non-Traded REIT advertisements and sales literature used during the time period of January 1, 2012 – June 30, 2012 were filed with the Advertising Regulation Department, or have been attached.
REGISTERED PRINCIPAL'S SIGNATURE: _________________________________________________
REGISTERED PRINCIPAL’S NAME: ________________________
REGISTERED PRINCIPAL’S TITLE: ________________________
1 We have observed that these types of communications are often contained in the Investor Package sent to prospects