• Client Communications & Advertising: All security sales material and advertising must be approved by the broker-dealer's compliance department prior to its use. This means that any letters (including e-mail), sales brochures or advertising you use in the Sales Process must first be approved by ONESCO prior to client use. Also keep in mind that all e-mail must be retained electronically for three years per securities regulations.
• Prospectuses: Prospectuses disclosing all pertinent facts about a security must be delivered to the client prior to, or at the time of, any security sales or presentation.

A broker-dealer and its Registered Representatives must comply with these rules and regulations in order to avoid sanctions, which can include fines, suspension, termination, or even prison. If you are ever in doubt concerning a compliance issue, contact ONESCO's Compliance Department for help at 877-663-7267 (option 6).