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Compliance Alert: SEC Announces 2013 Examination Priorities

The National Examination Program (NEP) of the SEC’s Office of Compliance Inspections and Examinations recently released its examination priorities for 2013. Read More

SEC Raises Rule Requirements for Advisory Performance Fees

A recent AdvisorOne article discussed the Securities and Exchange Commission’s announcement that it has decided to “tighten its rule on investment advisory performance fees to raise the net worth requirement for investors who pay performance fees by excluding the value of the investor’s home from the net worth calculation.” Read More

North Dakota 4-hour Annuity Suitability Training Requirement

North Dakota’s Legislative Assembly passed HB 1160 and it was signed into law on April 19th, 2011. All producers selling Annuity products will be required to take a one-time 4-hour Annuity Suitability Training course before August 1, 2012. Read More