Investment adviser representative continuing education requirements are critically important. Please read this alert carefully, as investment adviser representative registration may be at risk if you ...
The North American Securities Administrators Association (NASAA) released its Investment Adviser Section Annual Report (Report) in April 2021, highlighting 2020 section activities. The Report focuses ...
FINRA will now require registered representatives to complete the regulatory aspect of its continuing education program every year, as opposed to the previous schedule that required them to ...
Automated centralized compliance oversight designed to reduce vendor sprawl and eliminate manual tracking, mid-sized advisory ...
WASHINGTON – The Securities and Exchange Commission has approved the Municipal Securities Rulemaking Board’s proposal to create continuing education requirements for municipal advisors. Processing ...
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