Compliance Case Map

Compliance Case Map


 Service Category Case Topic A little more Specific Description
Advertising/Retail Communications
529 Plan Marketing
New Material
To submit new materials for 529 Plan Marketing for review/approval
Advertising/Retail Communications
529 Plan Marketing
Updated MaterialTo submit updated materials for 529 Plan Marketing for review/approval
Advertising/Retail Communications
529 Plan Marketing
Other
To use for any 529 Plan Marketing materials related question/issues not covered by any other category
Advertising/Retail Communication
Bio/Profiles
New Material
To submit new materials for Bio/Profiles for review/approval
Advertising/Retail Communications
Bio/Profiles
Updated Material
To submit updated materials for Bio/Profiles for review/approval
Advertising/Retail Communication
Bio/Profiles
Other
To use for any Bio/Profile related question/issues not covered by any other category 
Advertising/Retail Communication
Business Cards/Letterhead
New Material
To submit new materials for Business Cards/Letterhead for review/approval 
Advertising/Retail Communication
Business Cards/Letterhead
Updated Material
To submit updated materials for Business Cards/Letterhead for review/approval 
Advertising/Retail Communication
Business Cards/Letterhead
Other
To use for any Business Cards/Letterhead related question/issues not covered by any other category 
Advertising/Retail Communication
Content Library Update
New Material
To submit new materials for Content Library for review/approval  
Advertising/Retail Communication
Content Library Update
Updated Material
To submit updated materials for Content Library for review/approval 
Advertising/Retail Communication
Content Library Update
Other
To use for any Content Library related question/issues not covered by any other category
Advertising/Retail Communication
Form Letters/Mass Emails
New Material
To submit new materials for Form Letters/Mass Emails for review/approval 
Advertising/Retail Communication
Form Letters/Mass Emails
Updated Material
To submit updated materials for Form Letters/Mass Emails for review/approval
Advertising/Retail Communication
Form Letters/Mass Emails
Other
To use for any Form Letters/Mass Emails related question/issues not covered by any other category
Advertising/Retail Communication
Investment or Service Comparisons/RecommendationsNew MaterialTo submit new materials for Investment or Service Comparisons/Recommendations for review/approval
Advertising/Retail Communication
Investment or Service Comparisons/Recommendations
Updated Material
To submit updated materials for Investment or Service Comparisons/Recommendation for review/approval 
Advertising/Retail Communication
Investment or Service Comparisons/Recommendations
Other
To use for any Investment or Service Comparisons / Recommendation related question/issues not covered by any other category
Advertising/Retail Communication
Marketing Brochures
New Material
To submit new materials for Marketing Brochures for review/approval
Advertising/Retail Communication
Marketing Brochures
Updated Material
To submit updated materials for Marketing Brochures for review/approval 
Advertising/Retail Communication
Marketing Brochures
Other
To use for any Marketing Brochure related question/issues not covered by any other category
Advertising/Retail Communication
Mutual Fund Marketing
New Material
To submit new materials for Mutual Fund Marketing for review/approval 
Advertising/Retail Communication
Mutual Fund Marketing
Updated Material
To submit updated materials for Mutual Fund Marketing for review/approval
Advertising/Retail Communication
Mutual Fund Marketing
Other
To use for any Mutual Fund Marketing related question/issues not covered by any other category
Advertising/Retail Communication
Newsletter/Commentary
New Material
To submit new materials for Newsletter/Commentary for review/approval
Advertising/Retail Communication
Newsletter/Commentary
Updated Material
To submit updated materials for Newsletter/Commentary for review/approval 
Advertising/Retail Communication
Newsletter/Commentary
Other
To use for any Newsletter/Commentary related question/issues not covered by any other category 
Advertising/Retail Communication
Podcast/Vlog
New Material
To submit new materials for Podcast/Vlog for review/approval
Advertising/Retail Communication
Podcast/Vlog
Updated Material
To submit updated materials for Podcast/Vlog for review/approval 
Advertising/Retail Communication
Podcast/Vlog
Other
To use for any Podcast/Vlog related question/issues not covered by any other category 
Advertising/Retail Communication
Print Advertising
New Material
To submit new materials for Print Advertising for review/approval 
Advertising/Retail Communication
Print Advertising
Updated Material
To submit updated materials for Print Advertising for review/approval
Advertising/Retail Communication
Print Advertising
Other
To use for any Print Advertising related question/issues not covered by any other category 
Advertising/Retail Communication
Social Media Posts
New Material
To submit new materials for Social Media Posts for review/approval
Advertising/Retail Communication
Social Media Posts
Updated Material
To submit updated materials for Social Media Posts for review/approval 
Advertising/Retail Communication
Social Media Posts
Other
To use for any Social Media Posts related question/issues not covered by any other category 
Advertising/Retail CommunicationSponsorshipNew Material
To submit new materials for Sponsorship for review/approval 
Advertising/Retail Communication
Sponsorship
Updated Material
To submit updated materials for Sponsorship for review/approval 
Advertising/Retail CommunicationSponsorship
Other
To use for any Sponsorship related question/issues not covered by any other category 
Advertising/Retail Communication
Variable Annuity Marketing
New Material
To submit new materials for Variable Annuity Marketing for review/approval 
Advertising/Retail Communication
Variable Annuity Marketing
Updated Material
To submit updated materials for Variable Annuity Marketing for review/approval 
Advertising/Retail Communication
Variable Annuity Marketing
Other
To use for any Variable Annuity Marketing related question/issues not covered by any other category 
Advertising/Retail Communication
Website Review
New Material
To submit new materials for Website Review for review/approval 
Advertising/Retail Communication
Website Review
Updated Material
To submit updated materials for Website Review for review/approval 
Advertising/Retail Communication
Website Review
Other
To use for any Website Review related question/issues not covered by any other category 
Advertising/Retail Communication
General Inquiry
General Inquiry
To use for any Advertising/Retail Communication related question/issues not covered by any other category 
Direct Business Review
529 Plan Account
New Purchase
To submit a new 529 Plan Account Purchase for review/approval 
Direct Business Review
529 Plan Account
Subsequent Purchase
To submit a subsequent 529 Plan Account Purchase for review/approval 
Direct Business Review
529 Plan Account
Other
To use for any 529 Plan Account related question/issues not covered by any other category  Examples may include suitability discussion on a specific case prior to submission of the case 
Direct Business Review
Alternative Investment Risk Disclosure Review (MALLC Only)
New Purchase
To submit a new Alternative Investment Risk Disclosure Review for review/approval  (MALLC Only)
Direct Business Review
Alternative Investment Risk Disclosure Review (MALLC Only)
Subsequent Purchase
To submit a new Alternative Investment Risk Disclosure Review for review/approval  (MALLC Only)
Direct Business Review
Alternative Investment Risk Disclosure Review (MALLC Only)
Other
To use for any Alternative Investment Risk Disclosure Review related question/issues not covered by any other category  (MALLC Only)
Direct Business Review
Direct Mutual Fund Account
New Purchase
To submit a new Direct Mutual Fund Account Purchase for review/approval 
Direct Business Review
Direct Mutual Fund Account
Subsequent Purchase
To submit a subsequent Direct Mutual Fund Account Purchase for review/approval 
Direct Business Review
Direct Mutual Fund Account
Other
To use for any Direct Mutual Fund related question/issues not covered by any other category  Examples may include suitability discussion on a specific case prior to submission of the case 
Direct Business Review
ERISA Plans (MALLC Only)
New Plan
To submit a new ERISA Plan for review/approval  (MALLC Only)
Direct Business Review
ERISA Plans (MALLC Only)
Updated Plan
To submit an ERISA Plan Update for review/approval  (MALLC Only)
Direct Business Review
ERISA Plans (MALLC Only)
Quarterly Plan Summary
To submit an ERISA Plan Quarterly Plan Summary  (MALLC Only)
Direct Business Review
ERISA Plans (MALLC Only)
Service Deliverables
To submit an ERISA Plan Service Deliverables  (MALLC Only)
Direct Business Review
ERISA Plans (MALLC Only)
Other
To use for any ERISA Plan related question/issues not covered by any other category  (MALLC Only)
Direct Business Review
Fixed Indexed Annuity Review
Commission-based FIA Purchase
To submit a new Commission-based Fixed Indexed Annuity Purchase for review/approval  (MSI Only)
Direct Business Review
Fixed Indexed Annuity Review
Fee-based FIA Purchase
To submit a new Fee-based Fixed Indexed Annuity Purchase for review/approval  (MALLC Only)
Direct Business Review
Fixed Indexed Annuity Review
Other
To use for any Fixed Indexed Annuity related question/issues not covered by any other category  Examples may include suitability discussion on a specific case prior to submission of the case 
Direct Business Review
Mutual Fund Share Class Waiver (MALLC Only)
New Request
To submit a request to purchase a non-institutional share class mutual fund for an advisory account  (MALLC Only)
Direct Business Review
Mutual Fund Share Class Waiver (MALLC Only)
Updated Request
To submit an updated request to purchase a non-institutional share class mutual fund for an advisory account  (MALLC Only)
Direct Business Review
Mutual Fund Share Class Waiver (MALLC Only)
Other
To use for any Mutual Fund Share Class Waiver related question/issues not covered by any other category  (MALLC Only)
Direct Business Review
Product Inquiry
New Request
To submit new a Product inquiry for products not currently approved for use at Mutual 
Direct Business Review
Product Inquiry
Other
To use for any Product Inquiry related question/issues not covered by any other category  Examples may include assistance with Morningstar Annuity Expense Analyzer Reports or for product clarification prior to submitting business for the product
Direct Business Review
Variable Annuity Review
Commission-based VA Purchase
To submit a new Commission-based Variable Annuity Purchase for review/approval  (MSI Only)
Direct Business Review
Variable Annuity Review
Fee-based VA Purchase
To submit a new Fee-based Variable Annuity Purchase for review/approval  (MALLC Only)
Direct Business Review
Variable Annuity Review
Other
To use for any Variable Annuity related question/issues not covered by any other category  Examples may include suitability discussion on a specific case prior to submission of the case 
Direct Business Review
Variable Life/Variable Universal Life Review
Commission-based VL/VUL Purchase
To submit a new Commission-based Variable Life or Variable Universal Life Purchase for review/approval  (MSI Only)
Direct Business Review
Variable Life/Variable Universal Life Review
Fee-based VL/VUL Purchase
To submit a new Fee-based Variable Life or Variable Universal Life Purchase for review/approval  (MALLC Only)
Direct Business Review
Variable Life/Variable Universal Life Review
Other
To use for any Variable Life or Variable Universal Life  related question/issues not covered by any other category  Examples may include suitability discussion on a specific case prior to submission of the case 
Direct Business Review
General Inquiry
General Inquiry
To use for any Direct Business Review related question/issue not covered by any other category 
General Compliance
ADV Submission (MSI Only)
New ADV
To submit new ADV Submissions for your outside registered investment advisor for MSI review/approval  (MSI Only)
General Compliance
ADV Submission (MSI Only)
Updated ADV
To submit updated ADV Submissions for your outside registered investment advisor for MSI review/approval  (MSI Only)
General Compliance
ADV Submission (MSI Only)
Other
To use for any ADV Submission related question/issue not covered by any other category  (MSI Only)
General Compliance
Advisory Client Agreement Templates (MSI Only)
New Agreements
To submit new Advisory Client Agreement Templates for your outside registered investment advisor that has registered persons with Mutual Hybrid for MSI review/approval  (MSI Only)
General Compliance
Advisory Client Agreement Templates (MSI Only)
Updated Agreements
To submit updated Advisory Client Agreement Templates for your outside registered investment advisor that has registered persons with Mutual Hybrid for MSI review/approval  (MSI Only)
General Compliance
Advisory Client Agreement Templates (MSI Only)
Other
To submit new Advisory Client Agreement Templates for your outside registered investment advisor that has registered persons with Mutual Hybrid for MSI review/approval  (MSI Only)
General Compliance
Branch Exam Request
New Request
To submit or respond to a new Branch Exam Request 
General Compliance
Branch Exam Request
Updated Request
To submit or respond to an updated Branch Exam Request 
General Compliance
Branch Exam Request
Other
To use for any Branch Exam Request related question/issues not covered by any other category 
General Compliance
Client Complaint
New Complaint
To submit a new Complaint for review
General Compliance
Client Complaint
Updated Complaint Information
To submit updated Complaint information for review
General Compliance
Client Complaint
Other
To use for any Client Complaint related question/issues not covered by any other category 
General Compliance
Conference Reimbursement Request
New Request
To submit a new Conference Reimbursement Request 
General Compliance
Conference Reimbursement Request
Updated Request
To submit an updated Conference Reimbursement Request 
General Compliance
Conference Reimbursement Request
Other
To use for any Conference Reimbursement Request related question/issues not covered by any other category 
General Compliance
Document Request
Account Application
To submit or respond to a document request for an Account Application 
General Compliance
Document Request
Supplementary Documentation
To submit or respond to a document request for Supplementary Documentation 
General Compliance
Document Request
Other
To use for any Document Request related question/issues not covered by any other category 
General Compliance
Due Diligence Request
MALLC ONLY - Alternative Investment Due Diligence
To submit an Alternative Investment Due Diligence Request  (MALLC Only)
General Compliance
Due Diligence Request
MALLC ONLY - Manager Due Diligence
To submit a Manager Due Diligence Request  (MALLC Only)
General Compliance
Due Diligence Request
Vendor Due Diligence
To submit a new Vendor Due Diligence Request 
General Compliance
Due Diligence Request
Other
To use for any Due Diligence Request related question/issues not covered by any other category 
General Compliance
Gifts or Entertainment
Entertainment Log
To submit a new item for an Entertainment Log 
General Compliance
Gifts or Entertainment
Gifts Log
To submit a new item for a Gifts Log 
General Compliance
Gifts or Entertainment
Other
To use for any Gifts or Entertainment related question/issues not covered by any other category 
General Compliance
Outside Brokerage Accounts
3210 Letter Request
To submit a new Outside Brokerage Account 3210 Letter Request 
General Compliance
Outside Brokerage Accounts
New Account
To submit a new Outside Brokerage Account Form or request for review/approval 
General Compliance
Outside Brokerage Accounts
Terminated Account
To submit a terminated Outside Brokerage Account Form or request for review/approval 
General Compliance
Outside Brokerage Accounts
Updated Account
To submit an updated Outside Brokerage Account Form or request for review/approval 
General Compliance
Outside Brokerage Accounts
Other
To use for any Outside Brokerage Account related question/issues not covered by any other category 
General Compliance
Outside Business Activity
New Activity
To submit a new Outside Business Activity Form or request for review/approval 
General Compliance
Outside Business Activity
Terminated Activity
To submit a terminated Outside Business Activity Form or request for review/approval 
General Compliance
Outside Business Activity
Updated Activity
To submit an updated Outside Business Activity Form or request for review/approval 
General Compliance
Outside Business Activity
Other
To use for any Outside Business Activity related question/issues not covered by any other category 
General Compliance
Personal Trading Pre-Clearance (MALLC Only)
New Request
To submit information on a pending personal trade for pre-clearance  (MALLC Only)
General Compliance
Personal Trading Pre-Clearance (MALLC Only)
Updated Request
To submit updated information on a pending personal trade for pre-clearance  (MALLC Only)
General Compliance
Personal Trading Pre-Clearance (MALLC Only)
Other
To use for any Personal Trading Pre-Clearance related question/issues not covered by any other category 
General Compliance
Political Contributions
New Request
To submit a new Political Contribution for review/approval 
General Compliance
Political Contributions
Updated Request
To submit an updated Political Contribution for review/approval 
General Compliance
Political Contributions
Other
To use for any Political Contribution related question/issues not covered by any other category 
General Compliance
Private Securities Transaction
New Private Securities Transaction
To submit a new Private Securities Transaction or request for review/approval 
General Compliance
Private Securities Transaction
Terminate Private Securities Transaction
To submit a terminated Private Securities Transaction request for review/approval
General Compliance
Private Securities Transaction
Updated Private Securities Transaction
To submit an updated Private Securities Transaction request for review/approval 
General Compliance
Private Securities Transaction
Other
To use for any Private Securities Transaction related question/issues not covered by any other category 
General Compliance
Professional Designations
New Request
To submit a new Professional Designation for review/approval 
General Compliance
Professional Designations
Updated Request
To submit an updated Professional Designation for review/approval 
General Compliance
Professional Designations
Other
To submit an updated Professional Designation for review/approval 
General Compliance
Regulatory Inquiry/Exam Request
Exam Notification
To submit an Exam Notification received by a regulatory body 
General Compliance
Regulatory Inquiry/Exam Request
Information Request
To submit Information request to Mutual for a Regulatory Inquiry or Exam 
General Compliance
Regulatory Inquiry/Exam Request
Information Submission
To submit Information requested by Mutual for a Regulatory Inquiry or Exam 
General Compliance
Regulatory Inquiry/Exam Request
Inquiry Notification
To submit an Inquiry received by a regulatory body
General Compliance
Regulatory Inquiry/Exam Request
Other

To use for any Regulatory Inquiry/Exam related question/issues not covered by any other category 
General Compliance
Social Media Account
New Site or Account
To submit a new Social Media Account for review/approval 
General Compliance
Social Media Account
Terminated Site or Account
To submit a terminated Social Media Account for review/approval 
General Compliance
Social Media Account
Updated Site or Account
To submit an updated Social Media Account for review/approval 
General Compliance
Social Media Account
Other
To use for any Social Media Account related question/issues not covered by any other category 
General Compliance
General Inquiry
General Inquiry
To use for any General Compliance related question/issues not covered by any other category 
Licensing & Registration
Associated Person Update
Address Change
To submit an Address Change for an Associated Person 
Licensing & Registration
Associated Person Update
Contact Information Change
To submit Contact Information change for an Associated Person 
Licensing & Registration
Associated Person Update
Disclosure Change
To submit a Disclosure Change for an Associated Person 
Licensing & Registration
Associated Person Update
Other U4 Amendment
To use for any Associated Person Updates, including U4 Amendments, or related questions/issues not covered by any other category 
Licensing & Registration
Branch Update
Address Change
To submit an Address Change for a Branch 
Licensing & Registration
Branch Update
Phone Number Change
To submit a Phone Number Change for a Branch 
Licensing & Registration
Branch Update
Status Change
To submit a  Status Change for a Branch 
Licensing & Registration
Branch Update
Supervisory Change
To submit a  supervisory Change for a Branch 
Licensing & Registration
Branch Update
Other  
To use for any Branch Update related questions/issues not covered by any other category 
Licensing & Registration
FINRA License Inquiry
Close Exam Window
To request the Closing of a FINRA Exam Window 
Licensing & Registration
FINRA License Inquiry
Open Exam Window
To request the Opening of a FINRA Exam Window 
Licensing & Registration
FINRA License Inquiry
Other
To use for any  FINRA Exam Window or other FINRA License related questions/issues not covered by any other category 
Licensing & Registration
Insurance Licensing Inquiry
Addition
To notify Mutual of an Additional Insurance License 
Licensing & Registration
Insurance Licensing Inquiry
Appointment Request
To submit a New Appointment Request for an Insurance Company 
Licensing & Registration
Insurance Licensing Inquiry
Renewal
To notify Mutual of a Completed Insurance Renewal 
Licensing & Registration
Insurance Licensing Inquiry
Other
To use for any Insurance Licensing related questions/issues not covered by any other category 
Licensing & Registration
Pre-Hire Review
IAR
To submit a Pre-Hire Review for an Investment Adviser Representative  (IAR) (MALLC Only)
Licensing & Registration
Pre-Hire Review
MALLC LADMIN
To submit a Pre-Hire Review for an MALLC Licensed Admin (LADMIN) (MALLC Only)
Licensing & Registration
Pre-Hire Review
MALLC NRF
To submit a Pre-Hire Review for an MALLC Non-Registered Fingerprint Personnel (NRF)  (MALLC Only)
Licensing & Registration
Pre-Hire Review
MSI LADMIN
To submit a Pre-Hire Review for an MSI Licensed Admin (LADMIN) (MSI Only)
Licensing & Registration
Pre-Hire Review
MSI NRF
To submit a Pre-Hire Review for an MALLC Non-Registered Fingerprint Personnel (NRF) (MSI Only)
Licensing & Registration
Pre-Hire Review
RR
To submit a Pre-Hire Review for an Registered Representative (RR)  (MSI Only)
Licensing & Registration
Pre-Hire Review
Other
To use for any  Pre-Hire Review related questions/issues not covered by any other category 
Licensing & Registration
Resignation Request
MALLC
To submit a Resignation Request for Mutual Advisors, LLC  (MALLC Only)
Licensing & Registration
Resignation Request
MSI
To submit a Resignation Request for Mutual Securities, Inc  (MSI Only)
Licensing & Registration
Resignation Request
MSI & MALLC
To submit a Resignation Request for a dually registered person with Mutual Securities, Inc  and Mutual Advisors, LLC 
Licensing & Registration
Resignation Request
Other
To use for any  Resignation Requests related questions/issues not covered by any other category 
Licensing & Registration
Staffing Changes
New Hire
To submit a New Hire Notification for your staff 
Licensing & Registration
Staffing Changes
Updated Role
To submit an Updated Role Notification for your staff 
Licensing & Registration
Staffing Changes
Termination
To submit a Termination Notification for your staff 
Licensing & Registration
Staffing Changes
Other
To use for any Staffing Changes related questions/issues not covered by any other category 
Licensing & Registration
State Registration Request
Add
To submit a request to Add a State Registration 
Licensing & Registration
State Registration Request
Drop
To submit a request to Drop a State Registration 
Licensing & Registration
State Registration Request
Renewal Questions
To submit a Renewal Question for a State Registration 
Licensing & Registration
State Registration Request
Other
To use for any State Registration related questions/issues not covered by any other category 
Licensing & Registration
General Inquiry
General Inquiry
To use for any Licensing & Registration related question/issue not covered by any other category
Public Appearance/WebinarEvent Details
Attendance List
To submit the Attendance List for a Public Appearance/Webinar for review/approval 
Public Appearance/Webinar
Event Details
New Event
To submit New Event Details for a Public Appearance/Webinar for review/approval 
Public Appearance/Webinar
Event Details
Updated Event
To submit Updated Event Details for a Public Appearance/Webinar for review/approval 
Public Appearance/Webinar
Event Details
Other
To use for any Public Appearance/Webinar Event Details related question/issues not covered by any other category 
Public Appearance/Webinar
Presentation Materials/Invitations/Script
New Material
To submit New Material (e g  presentation materials, invitations, scripts) for a Public Appearance/Webinar for review/approval 
Public Appearance/Webinar
Presentation Materials/Invitations/Script
Updated Material
To submit Updated Material (e g  presentation materials, invitations, scripts) for a Public Appearance/Webinar for review/approval 
Public Appearance/Webinar
Presentation Materials/Invitations/Script
Other
To use for any Presentation Materials/Invitations/Script related question/issues not covered by any other category 
Public Appearance/Webinar
Third-Party Marketing Support Review
New Request
To submit a New Request to review Third-Party Marketing Support 
Public Appearance/Webinar
Third-Party Marketing Support Review
Updated Request
To submit an Updated Request to review Third-Party Marketing Support 
Public Appearance/Webinar
Third-Party Marketing Support Review
Other
To use for any Third-Party Marketing Support related question/issues not covered by any other category 
Public Appearance/Webinar
General Inquiry
General Inquiry
To use for any Public Appearance/Webinar related question/issue not covered by any other category
Supervision
Correspondence Review
New Material
To submit a New Material for Correspondence Review 
Supervision
Correspondence Review
Updated Material
To submit Updated Material for Correspondence Review 
Supervision
Correspondence Review
Other
To use for any Correspondence Review related question/issues not covered by any other category 
Supervision
OSJ EAST
General Update
To submit a General Update to the OSJ East Principal 
Supervision
OSJ EAST
Meeting Request
To submit a Meeting Request with the OSJ East Principal 
Supervision
OSJ EAST
Other
To use for any OSJ East Principal related question/issues not covered by any other category 
Supervision
OSJ WEST
General Update
To submit a General Update to the OSJ West Principal 
Supervision
OSJ WEST
Meeting Request

To submit a Meeting Request with the OSJ West Principal 
Supervision
OSJ WEST
Other
To use for any OSJ West Principal related question/issues not covered by any other category 
Supervision
Reverse Churning Review (MALLC Only)
New Information
To submit New Information for Reverse Churning Review  (MALLC Only)
Supervision
Reverse Churning Review (MALLC Only)
Updated Information
To submit Updated Information for Reverse Churning Review  (MALLC Only)
Supervision
Reverse Churning Review (MALLC Only)
Other
To use for any Reverse Churning related questions/issues not covered by any other category 
Supervision
Risk Monitor Review (MALLC Only)
New Information
To submit New Information for Risk Monitor Review  (MALLC Only)
Supervision
Risk Monitor Review (MALLC Only)
Updated Information
To submit Updated Information for Risk Monitor Review  (MALLC Only)
Supervision
Risk Monitor Review (MALLC Only)
Other
To use for any Risk Monitor Review related questions/issues not covered by any other category 
Supervision
Trade Reporting
New Information
To submit New Information for Trade Reporting 
Supervision
Trade Reporting
Updated Information
To submit Updated Information for Trade Reporting 
Supervision
Trade Reporting
Other
To use for any Trade Reporting related questions/issues not covered by any other category 
Supervision
General Inquiry
General Inquiry
To use for any Supervision related question/issue not covered by any other category-reporting osj principal absences that home office needs to cover for 



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