| Advertising - Endorser (Affiliated) - Disclosure Statement | $200.00 | |
| Advertising - Endorser (Unaffiliated) - Disclosure Statement | $200.00 | |
| Advertising - Testimonial/Endorsement (No Compensation) Authorization | $200.00 | |
| Conflicts of Interest – Fixed Indexed Annuities – Best Practices | $100.00 | |
| ESG Investing - Client Consent of Adviser's Use of ESG Objectives | $35.00 | |
| Personal Securities Transaction - Checklist for Personal Account Not Controlled by Access Person | $175.00 | |
| Privacy - Client Consent to Share NPPI with Non-Affiliates | $150.00 | |
| Privacy - Privacy Notice to Share NPPI with Non-Affiliates | $150.00 | |
| Private Equity - Compliance Checklist for Investment Adviser When Recommending PE Investment | $200.00 | |
| Rep - Recruiting - Letter of Intent Re Affiliation | $200.00 | |
