2022 & 2023 Continuing Education Requirements for IARs
In November of 2020, the North American Securities Administrators Association [...]
8
04, 2022
17
12, 2021
Annual Compliance Meeting (ACM)
FINRA Rule 3110(a)(7) requires all registered representatives and registered principals [...]
3
03, 2021
Change to New York IAR Registration GalleryChange 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
On December 1, 2020, the state of New York adopted [...]
29
01, 2021
Our Top 5 Blogs of 2020
MasterCompliance continues to provide clients and the public with guidance [...]
15
01, 2021
NASAA’s New Rule on IAR CE
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.
20
03, 2020
FINRA Proposal to Enhance Continuing Education
The Securities Industry/Regulatory Council on Continuing Education (CE Council) recently [...]
6
03, 2020
Annual Compliance Meeting: A Retrospective Review
FINRA initiated a retrospective review of the annual compliance meeting [...]
13
02, 2020
Annual Training Considerations for Broker/Dealers
It’s 2020 and as the new year rolls in, so [...]
14
10, 2016
Firm Element Advisory Posted
FINRA Rule 1250(b) discusses FINRA’s Firm Element continuing education requirements. [...]
10
06, 2016
2016 Broker-Dealer Training Considerations
Annual broker-dealer training should be derived from relevant regulatory and/or [...]