Exam Observations for New Firms
In March 2023, the Securities and Exchange Commission (“SEC”) released [...]
23
06, 2023
3
07, 2017
2017 Examination Priorities for RIA’s and BD’s
The Office of Compliance Inspections and Examinations (“OCIE”) of the [...]
23
05, 2017
MSRB Reminds Municipal Advisors of September Deadline to complete Series 50 Exam
As summarized below, the MSRB recently issued a reminder to [...]
20
10, 2016
MSRB Revises Content Outline for Series 50 Exam
In June 2016, the Municipal Securities Rulemaking Board (MSRB) filed [...]
17
08, 2016
FINRA Cycle Examinations
No less than once every four years, FINRA member firms [...]
27
07, 2016
Important Information About Series 63
If you’re reading this blog, you probably know all about [...]