The following vendors have been recommended by Red Oak clients who have used them. Red Oak does not receive any compensation and is not affiliated with any of them. If you use one, please let us know your opinion.
Need compliance training from an industry leader? Want to connect with other compliance professionals? The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is for compliance, by compliance. NSCP membership provides financial services compliance professionals with a wide range of resources including a community of like-minded peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests. Click here to go to NSCP’s website.
The Insurance Advertising Compliance Association is a not-for-profit organization whose fundamental purpose is to promote the education of insurance marketing, legal, and compliance professionals, as well as to create a beneficial impact on insurance advertising regulation through active participation from these individuals and their industry firms. Click here to go to IadCA’s website.
Interactive Brokers (IB) is a low-cost provider of trade execution and clearing services for individuals, advisers, prop trading groups, brokers, and hedge funds. IB’s premier technology provides direct access to stocks, options, futures, forex, bonds, and funds on over 100 markets worldwide from a single IB Universal account. Click here to go to Interactive Brokers.
Need to prepare for a investment adviser or broker-dealer exam? Solomon Exam Prep offers a discount to Red Oak’s clients and prospective clients. Click here to go the discounted pricing page.