Regulatory Notice 25-14

Summary

FINRA's Renewal Program facilitates the collection and disbursement of fees for broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting, and notice filings with participating self-regulatory organizations (SROs) and jurisdictions. The program operates through two key statements:

2024080211301 Alexander Investment Services Co., CRD 1037 AWC lp (2025-1763597993543).pdf

From June 30, 2020, until the present, Alexander Investment Services has failed to establish and maintain written policies and procedures, and a supervisory system, reasonably designed to achieve compliance with Securities Exchange Act of 1934 Rule 15/-1 (Regulation Best Interest or Reg BI), in violation of Exchange Act Rule 15/-1 (a)(l) and FINRA Rules 3110 and 2010.
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