SEC Greenlights FINRA Expungement Proposal |
[VIDEO] This month, we discuss the SEC’s recent approval of FINRA’s new expungement reform rule as well as March’s CFP Exam results. |
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CE Council Releases Q1 2023 Firm Element Advisory |
The CE Council recently released its Firm Element Quarterly Highlights to assist firms with the identification of potential topics to include in Firm Element training plans. |
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Colorado Latest State to Adopt IAR CE Requirement |
Colorado amended rule 51-4.4.1(IA) to add a continuing education requirement that follows NASAA’s model rule, affecting the state’s licensed investment advisers. |
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FINRA Revives Inspection Pilot Program Proposal |
FINRA has officially resubmitted a proposal which would allow eligible firms to participate in a three-year pilot program for conducting remote examinations of branch offices. |
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