Big Brother Financial Securities, Inc.
Compliance is Our Passion, but Profit Is our goal
Member NASD/SIPC/SPCA
TO: JOE DOKES Registered Rep #2567
FROM: YOUR BBFS Service Department
RE: Year End Changes
Nov. 1, 2007
This is to inform you that we have once again been forced to make some adjustments to our annual minimum requirements for ALL registered reps, and these changes will be enacted with absolutely no exceptions. Please note that these changes will go into effect on Nov. 2 but are retroactive from the first of the year.
Minimum Production Requirements (MPR) have been increased for all representatives to $1,500,000 of GDC.
Annual fees for all representatives have been increased to $21,500.
The annual compliance "real time" computer testing requirement has been
increased to 432 hours for all representatives.
Thank you in advance for your understanding and support of these very urgent and necessary adjustments to our procedures. If you feel that you may not be able to comply with these changes by the Dec. 31, 2007 deadline, please do not contact my office; instead, communicate any concerns to your immediate supervisory officer.
Sincerely yours,
Mr. Reynolds
Assistant Vice President
Compliance, Annoyance, and Procedures
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