SEC’s $63M Recordkeeping Action: Lessons for CCOs
The Securities and Exchange Commission (SEC) recently announced charges against [...]
16
01, 2025
27
12, 2024
Five New States Adopt IAR CE Requirements for 2025
The Investment Adviser Representative (IAR) CE requirement continues to gain [...]
16
12, 2024
Major Continuing Education Fraud Exposed by FINRA
Widespread Cheating Scheme Uncovered FINRA has unveiled an extensive cheating [...]
13
12, 2024
SEC Financial Remedies Hit Historic High in 2024
The SEC's enforcement statistics for fiscal year 2024 reveal a [...]
3
12, 2024
Minnesota Mandates IAR Continuing Education Starting 2025
Minnesota is the latest to adopt NASAA's IAR CE model [...]
18
11, 2024
SEC Examination Priorities for 2025: Key Areas of Focus Revealed
The SEC's Division of Examinations has released its examination priorities [...]
12
11, 2024
NASAA’s Memo on End of Year IAR CE Processing
The North American Securities Administrators Association (NASAA) has released important [...]
23
10, 2024
Rhode Island Becomes Latest State to Adopt IAR CE Requirement in 2025
Rhode Island is the latest to adopt NASAA’s IAR CE [...]
11
10, 2024
$6 Million Churning Scheme Leads to Reg BI Suspensions
In a recent development that underscores the importance of ethical [...]
9
10, 2024
Nebraska Set to Join List of States Implementing IAR CE in 2025
Nebraska has announced its adoption of NASSA’s Investment Adviser Representative [...]
