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Personnel for certain investment advisers and solicitors with natural person clients in New York will have to meet new registration and examination requirements.
Affected persons must be approved before December 2, 2021, to continue conducting investment advisory business in New York state.
Effective February 1, 2021, amendments to the New York Investment Advisory Act (the “Amendments”) require supervised persons representing certain New York-registered investment advisers, and, to a lesser degree, investment advisers registered with the Securities and Exchange Commission (“SEC”), to register with the New York Department of Law’s Investor Protection Bureau (the “Department”) and meet new examination requirements. These supervised persons, called investment adviser representatives, have until August 31, 2021 to meet the new requirements and must have their registration approved before December 2, 2021 to continue operating within New York. As di
HawsGoodwin Welcomes Two Vanderbilt Interns for Spring Semester
Wealth management firm finds ongoing value in their partnership with the university s Women in Business mentoring program
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FRANKLIN, Tenn., March 9, 2021 /PRNewswire/ HawsGoodwin Wealth, a Nashville area financial planning and investment management firm, is pleased to welcome two student interns during the spring semester. Abby Bush and Alexis Condon are spending 12 weeks under the guidance of Caroline Galbraith, CPWA®, CFP®, Partner and Wealth Management Advisor, as part of the Vanderbilt Women in Business Program (WiB).
Wealth management firm finds ongoing value in their partnership with the university s Women in Business mentoring program
HawsGoodwin Welcomes Two Vanderbilt Interns for Spring Semester prnewswire.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from prnewswire.com Daily Mail and Mail on Sunday newspapers.
Finra offers additional licensing exams online amid Covid-19
Finra will not require the documentation normally needed to obtain a testing accommodation. That will allow candidates to opt for an online exam if they’re reluctant to go to a test center.
February 26, 2021
Finra is allowing more licensing exams to be taken remotely in response to continuing social distancing concerns related to the coronavirus pandemic.
In an update on its website earlier this week, the Financial Industry Regulatory Authority Inc. said candidates can take Series 24, 57, 79 and 99 exams remotely if they make an interim accommodation request.
The request can be submitted online prior to scheduling an examination appointment. Finra will not require the documentation normally needed to obtain a testing accommodation. That will allow candidates to opt for an online exam if they’re reluctant to go to a test center.