Proposed Updates to Electronic Recordkeeping Requirements for Broker Dealers
On November 18, 2021, the U.S. Securities and Exchange Commission proposed updates to the Securities Exchange Act of 1934 rules…
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New NASAA Model Rule on Investment Adviser Representative Continuing Education
On January 1, 2022, certain US States will begin imposing new continuing education (“CE”) requirements for Investment Adviser Representatives (“IARs”)…
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