Use this form to request approval for Communications with the Public according to FINRA Rule 2210 and Advertising as ascribed in the Advisors Act Rule 206(4).   Enter only one unit per submission. Click "Submit" below when finished.

Pursuant to Trustmont Compliance Bulletin promulgated 2/14/2013, every item of Communications with the Public must have a unique identifying number following this format: 999-xx-001R. The first section is your representative number. The second section is the calendar year. The third section is your internal piece number, and the letter denotes the category of Public Communication that best defines this submission.  At the start of each new year, the internal piece number restarts at 01.

Enter Your Trustmont Representative Number:

Enter Year

Enter the three-digit piece number found on your Client Communications Log. This should be a consecutive number beginning with 001 as the first piece being submitted for the year:

Which Trustmont Unit?

Trustmont Financial
Trustmont Advisory
Both
 

What type of Public Communication is this piece? Correspondence-distributed to 1 to 25 recipients; Retail-distributed to more than 25 recipients; Institutional Investors

C
R
I
 

Please refer to FINRA Rule 2210 for a complete discussion of the categories of Public Communications.

Please refer to the Advisers Act Rule 206(4) for a complete definition of Advertisement.

Representative's Last Name:

Representative's First Name:

Email Address:

Which of the following applies to your submission:

Newsletter
Client Appreciation Event/Seminar/Workshop/Client Dinner
Website/Social Media
Business Stationery/Card/Letterhead
Public Appearance
Other
 

Brief Description:

Method of Distribution

PowerPoint Presentation to clients and prospective clients
Website/Social Media
E-mail
Hardcopy/Print/Brochure/Flyer
Newspaper/Bulletin Board
Television/Online Video/Radio/Podcast
Other
 

If "Other," please describe:

If your submission applies to a Sponsored Event for clients and prospective clients--choose all that apply:

My submission does not apply to a Sponsored Event
Event is being sponsored by a third party
Marketing materials are being distributed during event
Performance results are shown during event
Event is being recorded
None of the above apply to the sponsored event
 

Date of Proposed First Use? For client event, report the date of event. Note: Your request for approval must be made at least 14 days in advanced of proposed date of first use. Trustmont may impose a $100 late filing fee for submissions made less than 14 days from date of first proposed use.

Date of last use, if any:

Prior Approval Number, if any:

Please upload your submission below. While we prefer that your item be contained in a single pdf file, we have included a second link to allow you to submit additional file pages.

Please upload the proposed item of Public Communication.

Please upload Part 2, if any, of your proposed item of Public Communication.

The following fields are optional and are only applicable if the point of contact for this submission is someone other than the listed representative.

Point of contact first name

Point of contact last name:

Point of contact email address