FINRA Archives - Page 11 of 26

3 03, 2021

Change to New York IAR Registration
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Change to New York IAR Registration
Continuing Education, Examinations, Exempt Reporting Adviser, Filing Requirements, FINRA, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, WebCRD/IARD

Change to New York IAR Registration

By admin|2021-03-03T17:37:40-05:00March 3, 2021|Continuing Education, Examinations, Exempt Reporting Adviser, Filing Requirements, FINRA, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, WebCRD/IARD|

On December 1, 2020, the state of New York adopted [...]

1 03, 2021

Pros and Cons of Buying A Broker Dealer
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Pros and Cons of Buying A Broker Dealer
Broker-Dealer, Broker-Dealer Ownership, FINRA, Form CRS, Registrations, Rules and Regulations, SEC

Pros and Cons of Buying A Broker Dealer

By admin|2021-03-01T10:53:04-05:00March 1, 2021|Broker-Dealer, Broker-Dealer Ownership, FINRA, Form CRS, Registrations, Rules and Regulations, SEC|

Considerations for Buying a Broker Dealer If you find yourself [...]

26 02, 2021

Exclusions from the Definition of Investment Advisor
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Exclusions from the Definition of Investment Advisor
FINRA, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, SEC, SEC Registration, State Registration

Exclusions from the Definition of Investment Advisor

By admin|2021-02-26T09:49:33-05:00February 26, 2021|FINRA, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, SEC, SEC Registration, State Registration|

Previously we covered Investment Advisor Registration in our blog When [...]

24 02, 2021

FINRA’s Top Priorities for 2021
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FINRA’s Top Priorities for 2021
Broker-Dealer, Communications, Cybersecurity, FINRA, Form CRS, Registered Investment Advisers, Regulation Best Interest, Retail Communications, Rules and Regulations, Variable Annuities

FINRA’s Top Priorities for 2021

By admin|2021-02-24T09:58:16-05:00February 24, 2021|Broker-Dealer, Communications, Cybersecurity, FINRA, Form CRS, Registered Investment Advisers, Regulation Best Interest, Retail Communications, Rules and Regulations, Variable Annuities|

Early in the year, FINRA released their 2021 Report on [...]

22 02, 2021

Changes to The Definition of Accredited Investor
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Changes to The Definition of Accredited Investor
Broker-Dealer, FINRA, Private Placements, Rules and Regulations, Rules and Regulations, SEC

Changes to The Definition of Accredited Investor

By admin|2021-02-22T11:11:14-05:00February 22, 2021|Broker-Dealer, FINRA, Private Placements, Rules and Regulations, Rules and Regulations, SEC|

The changes to the definition of “Accredited Investor” that the [...]

19 02, 2021

When Do You Have to Register as an Investment Adviser?
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When Do You Have to Register as an Investment Adviser?
FINRA, IARD, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, Rules and Regulations, SEC, SEC Registration, State Registration

When Do You Have to Register as an Investment Adviser?

By admin|2021-02-19T09:26:46-05:00February 19, 2021|FINRA, IARD, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, Rules and Regulations, SEC, SEC Registration, State Registration|

The Investment Advisers Act of 1940 defines an investment adviser [...]

16 02, 2021

Update To The CFP Board Website LetsMakeAPlan.org
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Update To The CFP Board Website LetsMakeAPlan.org
CFP, FINRA, Registrations, Rules and Regulations, SEC, WebCRD/IARD

Update To The CFP Board Website LetsMakeAPlan.org

By admin|2021-02-16T12:41:34-05:00February 16, 2021|CFP, FINRA, Registrations, Rules and Regulations, SEC, WebCRD/IARD|

In mid-December, the CFP Board redesigned their consumer facing website, [...]

12 02, 2021

Investment Advisor Representative Registration
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Investment Advisor Representative Registration
FINRA, IARD, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, SEC Registration, State Registration

Investment Advisor Representative Registration

By admin|2021-02-12T10:44:46-05:00February 12, 2021|FINRA, IARD, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, SEC Registration, State Registration|

Individuals looking to be in the business of giving investment [...]

10 02, 2021

FINRA Rule 3241: Registered Person as Customer’s Beneficiary
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FINRA Rule 3241: Registered Person as Customer’s Beneficiary
Broker-Dealer, Filing Requirements, FINRA, Investment Advisor Representative, Registered Investment Advisers, Rules and Regulations, Supervision

FINRA Rule 3241: Registered Person as Customer’s Beneficiary

By admin|2021-02-10T14:23:39-05:00February 10, 2021|Broker-Dealer, Filing Requirements, FINRA, Investment Advisor Representative, Registered Investment Advisers, Rules and Regulations, Supervision|

On October 29, 2020 FINRA released a regulatory notice detailing [...]

8 02, 2021

Acting in the Best Interest of Your Elderly Clients
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Acting in the Best Interest of Your Elderly Clients
Broker-Dealer, Code of Ethics, FINRA, Investment Advisor Representative, Registered Investment Advisers, Rules and Regulations, Suitability

Acting in the Best Interest of Your Elderly Clients

By admin|2021-02-08T12:39:45-05:00February 8, 2021|Broker-Dealer, Code of Ethics, FINRA, Investment Advisor Representative, Registered Investment Advisers, Rules and Regulations, Suitability|

As the baby boomer generation reaches retirement age, regulators have [...]

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