Probably cleaning up after my branch audit…it’s amazing what I don’t know…

[quote=bankrep1]

[/quote]

There's nothing wrong with cold calling on July 3rd and you should not be embarassed.

I'll work from home for a bit but plan on staying off the streets as much as possible. A lot of people are taking Monday off to make it a four-day holiday. Where I live, idiots and rednecks come from miles around to drown in the river that the locals won't enter. And the Fourth of July is the High Holy Holiday for Redneck games.

Spend all day drinking in the 100+ degree temperatures, then start playing with fireworks. Makes a  great combination.

Good Luck to you!

P.S. Indy- when did you get audited? I haven't had one ...... yet.

[quote=munytalks]

I’ll work from home for a bit but plan on staying off the streets as much as possible. A lot of people are taking Monday off to make it a four-day holiday. Where I live, idiots and rednecks come from miles around to drown in the river that the locals won’t enter. And the Fourth of July is the High Holy Holiday for Redneck games.

Spend all day drinking in the 100+ degree temperatures, then start playing with fireworks. Makes a  great combination.

Good Luck to you!

P.S. Indy- when did you get audited? I haven't had one ...... yet.

[quote=joedabrkr]

Big thing-make sure you have your prospectus receipts up to date.
[/quote]

Or what happens?

[quote=NASD Newbie]

[quote=joedabrkr]

Big thing-make sure you have your prospectus receipts up to date.
[/quote]

Or what happens?

[quote=munytalks]P.S. Indy- when did you get audited? I haven't had one ...... yet.[/quote]

Got my first annual bendover earlier this week.  Some of the things are new to this B/D, some things are just silly oversights.  My sins included (1) no medallion log, (2)some firm-specific 529 documentation that I was blissfully unaware of, (3) missing prospectus receipts for non-discretionary SAM accounts, (4) forgeting to initial all of my own correspondence and advertising copies (seems silly since I'm the one generating everything!), (5) some missing switch letters (I know better than that!), and (6) a missing penny stock non-solicitation letter.  No doubt, these exams were targeted at areas that generally produce problems, but they sure make you feel like a dirt-bag...I had to keep reminding myself that I hadn't done anything detremental to my clients...

[quote=Indyone]

[quote=munytalks]P.S. Indy- when did you get audited? I haven't had one ...... yet.[/quote]

Got my first annual bendover earlier this week.  Some of the things are new to this B/D, some things are just silly oversights.  My sins included (1) no medallion log, (2)some firm-specific 529 documentation that I was blissfully unaware of, (3) missing prospectus receipts for non-discretionary SAM accounts, (4) forgeting to initial all of my own correspondence and advertising copies (seems silly since I'm the one generating everything!), (5) some missing switch letters (I know better than that!), and (6) a missing penny stock non-solicitation letter.  No doubt, these exams were targeted at areas that generally produce problems, but they sure make you feel like a dirt-bag...I had to keep reminding myself that I hadn't done anything detremental to my clients...

[/quote]

You're taking it way to hard if you feel like a dirt bag.  The examiners are punks who think they're far more important than they are.

Taking the day off to tend to my flowers–my award winning flowers, that is.

3 words:

willie nelson's picnic!

http://www.williespicnic.com/index.asp

....no, i will not be wearing a suit.

[quote=Soothsayer]Taking the day off to tend to my flowers--my award winning flowers, that is.[/quote]

Remember, this guy shaves twice a day.  Maybe he smears Miracle Grow on his face?

What can I say Newbie, except that I am a rather complex, diverse, and interesting Renaissance man.

[quote=Soothsayer]What can I say Newbie, except that I am a rather complex, diverse, and interesting Renaissance man.[/quote]

Anybody that has a green thumb has my complete and absolute respect.

Any idea what needs to be done to kill a crepe myrtle from hell?

[quote=Indyone][quote=munytalks]P.S. Indy- when did you get audited? I haven’t had one … yet.

Got my first annual bendover earlier this week.  Some of the things are new to this B/D, some things are just silly oversights.  My sins included (1) no medallion log, (2)some firm-specific 529 documentation that I was blissfully unaware of, (3) missing prospectus receipts for non-discretionary SAM accounts, (4) forgeting to initial all of my own correspondence and advertising copies (seems silly since I'm the one generating everything!), (5) some missing switch letters (I know better than that!), and (6) a missing penny stock non-solicitation letter.  No doubt, these exams were targeted at areas that generally produce problems, but they sure make you feel like a dirt-bag...I had to keep reminding myself that I hadn't done anything detremental to my clients...[/quote]

You're taking it way to hard if you feel like a dirt bag.  The examiners are punks who think they're far more important than they are.[/quote]

Oh I've gotten over that...now I just have to get through the paperwork...

[quote=NASD Newbie]

Any idea what needs to be done to kill a crepe myrtle from hell?

[/quote]

I can't believe I am agreeing with you...

[quote=NASD Newbie]

[quote=Soothsayer]What can I say Newbie, except that I am a rather complex, diverse, and interesting Renaissance man.[/quote]

Anybody that has a green thumb has my complete and absolute respect.

Any idea what needs to be done to kill a crepe myrtle from hell?

[/quote]

Transplant it to a spot in my yard.  It must be the soil of death. I don't want to imagine what might be under the ground there. We have managed to kill an apricot tree, an apple tree and our final murder was a weeping willow tree.  How can you kill one of those?  Every place else in the landscape is blooming and lush.  

The area is now going to be a water feature with a concrete basin to keep the evil  spirits underground and away from the water plants.

[quote=NASD Newbie][quote=Indyone]

Got my first annual bendover earlier this week.  Some of the things are new to this B/D, some things are just silly oversights.  My sins included (1) no medallion log, (2)some firm-specific 529 documentation that I was blissfully unaware of, (3) missing prospectus receipts for non-discretionary SAM accounts, (4) forgeting to initial all of my own correspondence and advertising copies (seems silly since I'm the one generating everything!), (5) some missing switch letters (I know better than that!), and (6) a missing penny stock non-solicitation letter.  No doubt, these exams were targeted at areas that generally produce problems, but they sure make you feel like a dirt-bag...I had to keep reminding myself that I hadn't done anything detremental to my clients...

[/quote]

You're taking it way to hard if you feel like a dirt bag.  The examiners are punks who think they're far more important than they are.

[/quote]

Here, Here Newbie. A guy's got to have a special, albeit sick sense of humor to be a compliance auditor.

This is good stuff Indy.....tell us more. You too Joedaman.

Great Info on the Audit- THANKS- Looks like I'll have about 45 days to get ready.....

MEANWHILE- Fourth of July was OUTSTANDING! I cooked up the absolute best ribs and chicken ever. My family calls me a Barbeque Nazi but I prefer Barbeque Purist.  I use two Webers- one for chicken & fish- the other for Beef & Pork. Cooked up my own 'mop'  sauce for  the ribs and mixed up my own rub for the chicken. I use real charcoals and keep 6 different kinds of wood chips for smoking. Nobody but nobody touches my grills. Weather was perfect and beer was ice cold.... what a day...