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Compliance & Operations Alerts

2026

Compliance Alert - Crypto & Romance Scam Alert

06/15/26

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Compliance Alert - 2026 Annual Compliance Questionnaire

04/27/26

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Compliance Alert - 2026 ADV Annual Offer Mailing

04/14/26

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Compliance Alert - New Product Offering – Equity Linked Notes

01/12/26

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2025

Compliance Alert – Cryptocurrency Trading Update

09/04/25

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Compliance Alert - Important Procedure Reminders

07/21/25

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Compliance Alert - 2025 Annual Compliance Meeting-July-11

07/11/25

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Compliance Alert - 2025 Annual Compliance Meeting

05/22/25

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Compliance Alert - Annual Offer Letter April 2025

04/16/25

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Compliance Alert – Raymond James SCAM/FRAUD Alert

02/06/25

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Category 3 ETP / LF169 Annual Account Reviews

01/24/25

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2025 Regulatory Continuing Education

01/08/25

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2024

Gifts and Entertainment

11/20/24

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2024 Annual Compliance Meeting Recording

11/01/24

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Mutual Fund Switch

10/21/24

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First Trust Sub-Advi sory Email

10/08/24

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Notice of Written Supervisory Procedure Update

10/03/24

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Notice of Written Supervisory Procedure Update

10/02/24

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Advisory Negative Consent Letter

9/26/24

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Texting / Off-Channel Communications

9/09/24

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DocuSign – SMS Authentication Now Required for Client Signatures

8/29/24

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SAVE THE DATE for our 2024 Annual Compliance Meeting

7/29/24

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Continuing Education Requirements Due

7/22/24

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Compliance Reminders

6/4/24

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**REMINDER** Annual Questionnaire 2024

5/13/24

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Annual Questionnaire 2024

4/29/24

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ADV Annual Offering

4/18/24

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Updated RIA Documents

3/27/24

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Important Update Regarding Move to Black Diamond – April 1, 2024

3/20/24

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LF189 Form Changes

3/13/24

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LFAS7216 - CRI Disclosure and Consent

3/11/24

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Updates to Advisory Documents and Trusted Contact Requirement

2/26/24

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2024 Important Compliance Reminders

2/12/24

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Raymond James Equity/Option & Mutual Fund Order Entry

1/25/24

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Updates to Advisory Documents

1/11/24

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Deceased account holder notifications

1/10/24

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2023

Money Movement

12/20/23

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Annual Compliance Meeting Presentation

12/13/23

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Monthly Billing Addendum Reminder

11/13/23

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Annuity Surrender Disclosure Requirements

11/01/23

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Updated Form ADV Part 2A - LFAS and LFCM

9/12/23

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Discretionary Trading Issues

7/31/23

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Q2 / Q3 Level Four Compliance Webinar

7/27/23

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Firm Element Kickoff 2023

7/19/23

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Global Relay Texting Solution

7/12/23

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Global Relay Texting Solution

6/23/23

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Annual Compliance Questionnaire 2023

4/25/23

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2023 Annual Offer Mailing - LFAS & LFCM

4/21/23

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Annual Compliance Questionnaire 2023

4/4/23

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Annual Compliance Questionnaire 2023

3/31/23

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Closure of Non-funded Accounts

3/08/23

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Regulatory Continuing Education Changes

1/12/23

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IRS Federal Withholding Changes

1/5/23

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Monthly Billing has Started

1/3/22

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2022

Monthly Billing

12/07/22

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FINRA email scam

11/21/22

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Trade Errors

10/04/22

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Required LF126 Form for 529 Due Diligence

8/26/22

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Exchange Traded Products (ETP’s)

8/15/22

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Email & Website Disclosure Links

8/10/22

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Service Center Portal Use

7/22/22

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Up-to-date Forms

7/9/22

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Firm Element Kickoff

6/14/22

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Crypto Products

5/31/22

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Cyber Alert: Phishing Reminder

5/23/22

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Cyber Alert: Phishing Email Purportedly From FINRA

4/27/22

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Annual Form ADV Offer

4/25/22

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Foreign Accounts

4/8/22

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Check Receipts

4/6/22

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Annual Compliance Questionnaire

3/31/22

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Website Archiving

1/31/22

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COVID Reminder

1/21/22

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LFF011 form requirement changes effective with New Year

1/4/22

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DOL - PTE 2020-02

1/3/22

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2021

Transition of Advisory Representative Registrations

12/22/21

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Important Advisory Account Reminders

11/22/21

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Cannabis Stocks

11/9/21

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RCS platform update - Restricted Jurisdictions

10/22/21

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Inadvertent Custody

7/14/21

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Disclosure Document E-Delivery

5/4/21

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GIPS Tracking Compliance Alert

4/27/21

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SBLOC Compliance Alert

4/21/21

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New Annuity Policy Receipt Form HF158

4/20/21

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New Licensing and Registration Email Inbox

3/18/21

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Updated Annual Advisory Account Review

3/17/21

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Orion Inform - OBA Update

3/15/21

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Level Four Group, LLC is a division of CRI Capital Group, LLC, a subsidiary of CRI Advisors, LLC. “CRI" is the brand name under which Carr, Riggs & Ingram, L.L.C. (“CPA Firm”) and CRI Advisors, LLC (“Advisors”) and its subsidiary entities provide professional services. CPA Firm and Advisors (and its subsidiary entities) practice as an alternative practice structure in accordance with the AICPA Code of Professional Conduct and applicable law, regulations and professional standards. CPA Firm is a licensed independent CPA firm that provides attest services to its clients, and Advisors and its subsidiary entities provide tax and business consulting services to their clients. Advisors and its subsidiary entities are not licensed CPA firms.



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