Compliance FAQs

How do I get in my Leaders Group email address?

To access your email address, go to Your username was sent to you via email around the time your first joined. If you don’t have the email it is typically Contact if you don’t know what your password is and we’ll have it reset.

How do I send secure and encrypted emails?

Unless you have your own encryption setup, you can utilize the encryption service with yourarchived email address by writing “secure” or “confidential” in the subject line of your email. The email will go out through TLS encryption—meaning the desired recipient will often not even know that it was a secure email, saving them the time that it takes to log in through another portal.

What if I use Social Media for business purposes?

All representatives who elect to use Twitter or LinkedIn individual pages for business purposes must sign up with Global Relay so that their content can be archived electronically.

The cost for this service is included with the compliance and technology fees. More information here.

What needs to go on my transaction blotter?

The transaction blotter can be found here. You need to record all transactions that come through your office – Transfers/Rollovers/Exchanges/ Checks included. The blotter must remain in your files for three years. Fire Solutions is accessed through this link: Your archived email address (this is your business email or your address). If you forgot your password, click on the ‘Forgot your password?’ link.

What needs to be on my business card?

Click here for our complete business card guidelines.

What disclosure should go on my stationery and in my email signature?

Securities offered through The Leaders Group, Inc., Member FINRA/SIPC, 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120. (303) 797-9080.

If you’re also an IAR with TLG Advisors, use this disclosure.

Securities and Investment Advisory Services o ered through The Leaders Group, Inc. Securities Dealer, Member FINRA/SIPC; TLG Advisors, Inc. Registered Investment Advisor; 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120. 303-797-9080.

What do I need to have on my website for it to be in compliance?

Refer to our website guidelines. Starting in December of 2015, FINRA requires a hyperlink to BrokerCheck on each site ( You can build a website that provides compliant content through certain vendors that we work with. Contact for more information.

Do I need to report compensation paid outside of the brokerdealer?

Yes, any compensation received outside of the BD is considered an outside business activity. This includes anything from  fixed business that you do that doesn’t run through us to being an Uber driver. To report a new activity use our Outside Business Activity Approval form. This must be submitted before starting the activity.

Do I have any CE due this year?

Yes, there are three types of continuing education that you should look out for during the course of the year.

Regulatory Element

Each representative is required to complete a computer-based training session at FINRA designated testing centers within 120 days (four months) of their second anniversary date, and every three years thereafter (the anniversary date is the latest date the representative passed their exam). Notification of the anniversary date will be sent to the representative in advance. It is each representative’s responsibility to schedule the CE session within the allotted 120-day window. If the representative fails to complete the Regulatory Element within that time, their registration will be inactivated by the FINRA. The Firm’s Compliance Department (or an outsourced provider) will notify the representative via email when their window opens.

Firm Element (the deadline for existing representatives is typically in July)

This part of the continuing education program is developed and implemented by the Firm with the goal of providing ongoing training specific to the Firm’s business. Participation is mandatory for all representatives, regardless of the amount of time that they have been licensed in the industry. Representatives failing to complete the Firm Element requirement will be  ned, and may be subject to termination by the Firm if not completed by year end.

Annual Compliance Meeting (these take place during the Fall—you have several opportunities to sign up for one)

The Firm conducts a compliance meeting at the annual sales conference and via webinars or conference calls throughout the year. Representatives who do not attend the meeting as required will be  ned, and may be subject to termination by the Firm.

I’ve recently moved my home and/or o ce. Do I need to report anything?

Yes, any change of addresses should go to

Contacting Compliance?

303-797-9080 ext. 160