Outside Business Activities Disclosure

  • FINRA requires you to disclose all business activities that you conduct that are not related to Rainmaker Securities
  • Must await principal approval prior to entering into the activity. 
  • Disclose any for-compensation activity
  • Disclose any management, director or board memberships (including non-profit entities)

Private Securities Transactions Disclosure

  • FINRA requires that you disclose all of the following: funds managed, personal investments in private companies, and any assistance in fund raising for non-Rainmaker Securities clients
  • Disclose entities formed for use as investment vehicles
  • Must submit diligence file for offering approval by firm principal
  • Transactions/Subscriptions must be recorded on the firm's books & records

Brokerage Accounts Disclosure

  • FINRA requires you to disclose all brokerage accounts for yourself, family members, or accounts in which you have a beneficial interest.
  • Rainmaker Securities must receive duplicate trade confirmations and monthly/quarterly statements.
  • Industry professionals are prohibited from participating in New Issues or IPO transactions.

Gifts & Gratuities Disclosure

  • FINRA requires you to disclose all gifts and gratuities to clients or prospects
  • Limited to $100 value per year
  • Must record all recipients
  • Exception: If you accompany the client or prospect to the event, it will not be subject to the $100 limit

Annual Policies Certification

  • This form is used to update Rainmaker Securities regarding any required disclosures and to allow us to assess your compliance needs

Annual U4 Review

  • This form is used to ensure that the information on your Form U4 is up to date

Firm Element Attestation

  • The Firm Element is presented annually by the Rainmaker Securities compliance department as a refresher course in applicable FINRA and SEC regulations
  • Each registered representative must certify that they have either attended or viewed the presentation
  • Watch the Firm Element Presentation HERE

Privacy Policy Certification

Compliance Manual Certification