2022 & 2023 Continuing Education Requirements for IARs
In November of 2020, the North American Securities Administrators Association [...]
8
04, 2022
23
06, 2021
Gifts and Gratuities
Advisory representatives are prohibited from accepting anything of value that [...]
20
04, 2021
New Hire Forms Checklist for RIAs
When a registered investment adviser on boards a new registered [...]
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 [...]
12
02, 2021
Investment Advisor Representative Registration
Individuals looking to be in the business of giving investment [...]
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.