professional certifications Archives - Master Compliance

8 11, 2022

Understanding the Difference: Series 63, Series 65 Or Series 66
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Understanding the Difference: Series 63, Series 65 Or Series 66
Broker-Dealer, Examinations, FINRA

Understanding the Difference: Series 63, Series 65 Or Series 66

By admin|2022-11-08T13:32:25-05:00November 8, 2022|Broker-Dealer, Examinations, FINRA|

When a person is preparing to enter the financial services [...]

22 02, 2021

Changes to The Definition of Accredited Investor
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Changes to The Definition of Accredited Investor
Broker-Dealer, FINRA, Private Placements, Rules and Regulations, Rules and Regulations, SEC

Changes to The Definition of Accredited Investor

By admin|2021-02-22T11:11:14-05:00February 22, 2021|Broker-Dealer, FINRA, Private Placements, Rules and Regulations, Rules and Regulations, SEC|

The changes to the definition of “Accredited Investor” that the [...]