EMAIL DETAILS

Actually, this makes it easier. Let me figure out my logistics and let's talk tomorrow.

Eric D. Schwerin
eschwerin@rosemontseneca.com

Sent from my iPhone

On Jan 23, 2013, at 5:50 PM, Marc LoPresti <mxl@tlcorplaw.com> wrote:

> See attached. Guess we are going to Philly…..
>
> Let me know if you want me to come to DC to prep on the 5th or if you have a better idea….
>
> Also, PLEASE NOTE the additional documents we need to bring. Oyster can do the updated Net Cap computation, and please note that we will need to bring December and January bank statements for both the BD and holding company accounts. If February is available online before the 6th, we should bring that too.
>
> Let me know if you have any questions about the letter.
> Best regards,
> Marc X. LoPresti, Esq.
> Tagliaferro & LoPresti, LLP
> www.tlcorplaw.com
> New York Office:
> 45 Broadway, Suite 610
> New York, New York 10006
> (212) 732-4029
> (212) 232-2398 (fax)
>
> Los Angeles Office:
> 12100 Wilshire Boulevard, Suite 480
> Los Angeles, California 90025
> (310) 312-1860
> (310) 477-3481
>
> CONFIDENTIALITY NOTICE:
>
> The information contained in this electronic mail message is private and confidential and may contain Attorney-Client privileged information. It is intended only for the use of the individual or entity to whom it is addressed. The information may be privileged, proprietary and exempt from disclosure under applicable federal, state or other law. Any recipient of this electronic mail message other than the intended recipient is hereby notified not to disclose, distribute or copy this electronic mail message, or take or refrain from taking any action in response to this message.
>
> From: Kethley, Elisa [mailto:Elisa.Kethley@finra.org]
> Sent: Wednesday, January 23, 2013 5:47 PM
> To: Marc LoPresti
> Subject: RSP Investments, LLC MI Scheduled Notification letter
>
> Mr. LoPresti:
>
> Attached is the MI scheduled notification.
>
> Regards,
> Elisa Kethley
> Associate Principal Examiner
> Membership Application Program Group
> FINRA
> One World Financial Center
> 200 liberty Street 9th Floor
> New York, NY 10281-1003
>
> 212-858-5171
>
> email: elisa.kethley@finra.org
>
>
> Confidentiality Notice: This email, including attachments, may include non-public, proprietary, confidential or legally privileged information. If you are not an intended recipient or an authorized agent of an intended recipient, you are hereby notified that any dissemination, distribution or copying of the information contained in or transmitted with this e-mail is unauthorized and strictly prohibited. If you have received this email in error, please notify the sender by replying to this message and permanently delete this e-mail, its attachments, and any copies of it immediately. You should not retain, copy or use this e-mail or any attachment for any purpose, nor disclose all or any part of the contents to any other person. Thank you
>
> <RSP MI Scheduled Notification Letter.pdf