29 01, 2021

Our Top 5 Blogs of 2020

By |2021-01-29T09:29:07-05:00January 29, 2021|Annual Compliance Meeting, Broker-Dealer, Continuing Education, Examinations, FINRA, Investment Advisor Representative, Registered Investment Advisers, Registrations, Regulation Best Interest, Rules and Regulations, Rules and Regulations, SEC|

MasterCompliance continues to provide clients and the public with guidance [...]

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15 01, 2021

NASAA’s New Rule on IAR CE

By |2021-01-15T16:09:16-05:00January 15, 2021|Continuing Education, Examinations, FINRA, Investment Advisor Representative, NASAA, Rules and Regulations, Rules and Regulations|

The North American Securities Administrators Association ("NASAA") recently adopted a new rule that will require Investment Advisor Representatives ("IARs") to complete 12 credit hours of Continuing Education annually.

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