General
MALLC IPO Policy
You’ve seen the headlines, and your clients have too. From tech disruptors to established brands, hotly anticipated Initial Public Offerings (IPOs) are capturing significant investor attention. In response to a notable increase in clients asking to ...
Mutual Advisors' Wrap Addendum - 2026
Mutual Advisors' Wrap Addendum - 2026
PONTERA AND CREDENTIAL ACCESS PLATFORM GUIDANCE
We have recently become aware of a regulatory sweep focused on firms that utilize Pontera and similar credentialed-access platforms to manage held-away accounts. In light of the heightened regulatory scrutiny and the operational and client-protection ...
LINKING YOUR SOCIAL MEDIA TO SMARSH FOR ARCHIVING
Please use the instructions below to enable archiving from the Social Media disclosure form you completed with your New Hire kit. If there are any sites missing, please notify Mutual Registrations immediately through Mutual’s Client Portal to get ...
Department Extensions
Department Team Extension Service & Operations Advisory Services 811 Service & Operations Brokerage 810 Service & Operations Non-Brokerage 824 Service & Operations Hybrid Trading (800-750-7862) 350 Service & Operations Investment Management Platform ...