8 02, 2021

Acting in the Best Interest of Your Elderly Clients

By |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 [...]

Read More
5 02, 2021

The SEC Rule Change to Advisor Marketing Rules

By |2021-02-05T14:55:36-05:00February 5, 2021|Filing Requirements, FINRA, IARD, Investment Advisor Representative, Rules and Regulations, Rules and Regulations, SEC, Social Media|

In mid-December, the SEC adopted an amended rule to the [...]

Read More
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 [...]

Read More
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.

Read More
Go to Top