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Compliance and Continuing Education

Compliance and Continuing Education

Dominion holds several annual regional meetings in states where we are saturated with representatives. Attendance at one of these meetings is mandatory. The meeting is conducted for the purpose of reviewing regulatory changes and compliance issues. The meeting lasts one day. 
 
Audits and office inspections are performed annually in each OSJ office to ensure compliance with FINRA, SEC and State requirements. Normally, Dominion's Chief Compliance Officer will perform the audit and office inspections.  Other Principals of Dominion may from time to time perform an audit and office inspection.
 
Non-OSJ offices are audited and inspected every three years or more frequently, if required. These are performed by the Chief Compliance Officer or other Principals of Dominion.
 
A compliance manual is distributed to a new Representative upon joining Dominion.  Representatives are notified via email when new updates are available.
 
Memos are distributed via email detailing new regulations, rulings applicable to our industry, and Dominion's internal policies, as needed.

Dominion Investor Services,Inc.  Member FINRA and SIPC