12 02, 2021

Investment Advisor Representative Registration

By |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 [...]

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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.

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