Successful organizations create roadmaps for success, leveraging knowledge and experience of others as a foundation. 3PM offers third party marketers information on best practices, standards of conduct and regulatory issues to help them create their roadmaps and build their business professionally and ethically.

Webcasts Playback: State Registrations – A Guide for 3PMs, September 17, 2007 at 1:00 p.m. EDT, a 3PM-sponsored webcast. Presenters are Joseph P. Borg, Director of the Alabama Securities Commission and President of the North American Securities Administrators Association (NASAA); Rex A. Staples, General Counsel of NASAA; and Tanya Solov, Director of the Illinois Securities Department and Vice Chairman of the Broker/Dealer Section of NASAA. The presenters explain the role of state securities regulators, how the NASAA differs from the NASD and SEC, how 3PM firms can work with state regulators and the current "hot" exam topics for state regulators. Download full agenda now. 3PM members may replay this webcast free of charge by visiting the Member's Area. Cost to non-3PM members is $50.00 USD; payment being charged to your credit card by clicking the "Buy Now" icon to the right of the title above.

Playback: Compliance and Regulatory Issues Facing 3PMs Operating Broker/Dealers, June 25, 2007, 1:00 p.m. EDT, a 3PM-sponsored webcast. Presenters of this webcast are Dan Beaton and Ken George from FINOP and Compliance Services, who reviewed a number of specific requirements that directly pertain to 3PMs. In addition, several of the NASD's proposed rule changes that will affect 3PMs with broker/dealers (full agenda) will be discussed. 3PM members may replay this webcast free of charge by visiting the Member's Area. Cost to non-3PM members is $50.00 USD; payment being charged to your credit card by clicking the "Buy Now" icon to the right of the title above.

3PM Best Practices: A Roadmap for Success
The most seasoned and effective 3PM firms have contributed to this set of “best practices”, covering three important business needs: client selection and retention, sales practices and business management. Use this as a checklist for developing your business.

Code of Ethics
The Third Party Marketers Association upholds ethical standards for its members and the industry as a whole. The Code of Ethics serves to protect and establish strong working relationships between its members and their clients.

Rule 206(4)-3
Rule 206(4)-3 covers requirements set forth under the Investment Advisers Act of 1940 regarding cash payments for client solicitations. 3PM members must be knowledgeable of, and comply with this rule.

Links

PAICR - Professional Association for Investment Communications Resources

www.investmentjobsonline.com - Both job seekers and employers will find this link useful for employment position opportunities in the investment industry.