Legal & Regulatory Disclosures
v2026.10.21
- Document version
- v1.3
- Effective
- 2026-10-21
- Change
- material — supersedes v2026.09.03
- SHA-256
- b95d99cf6671536b8eac7fb1a639c0950c36eeb86af4b3c2af69f209e01fce16
Note
Broker-Dealer Affiliation and Conflicts: "commission-based compensation" now reads "transaction-based compensation, including success fees", as in Form ADV Part 2A Items 5.F, 10 and 14.C, and the conflict paragraph is replaced by the Form ADV Part 2A, Item 5.F sentences quoted word for word: the description of the conflict and of our client base, the incentive it creates, and that Protocol Wealth does not recommend that an advisory client invest in an offering or transaction on which any of our personnel is earning or may earn transaction-based compensation unless the conflict is disclosed in writing before the client commits. No other text changed.
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