Key Points
Beginning February 1, new and amended rules will go into effect in New York that require certain individuals associated with investment advisers to register with the state and to meet examination requirements (or qualify for exemptions therefrom).
With respect to investment advisers registered with the Securities and Exchange Commission (SEC), these new registration and examination requirements will only apply to individuals who meet the federal definition of an investment adviser representative, while a broader range of persons associated with New York State-registered investment advisers will be subject to those requirements.
In addition, New York will now impose registration and examination requirements with respect to entities and individuals that qualify as solicitors, as defined in the state s revised rules.
Caring Cetera Raises $240,000 to date with Launch of Diversity in Financial Planning Scholarship
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LOS ANGELES, Jan. 27, 2021 /PRNewswire/ Caring Cetera, a 501(c)(3) nonprofit founded and led by financial professionals affiliated with Cetera, has launched a Diversity in Financial Planning Scholarship and raised $240,000 for the program in 2020. Cetera matched all donations made after the scholarship launched and initial fundraising began during [email protected], its virtual conference held in October last year. The scholarship aims to improve diversity within the profession and increase opportunities to work with and benefit all communities to pursue greater financial security and wellness. The Caring Cetera team has plans to expand upon fundraising and scholarship development efforts this year.
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WASHINGTON, Jan. 22, 2021 /PRNewswire/ Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP® certification against Andrew D. Slocum, which was effective as of January 19, 2021.
On January 19, 2021, CFP Board issued an automatic interim suspension order suspending Andrew D. Slocum s right to use the CFP® certification marks. CFP Board imposed an automatic interim suspension after receiving evidence that Mr. Slocum was permanently barred by Financial Industry Regulatory Authority, Inc. (FINRA) from association with any FINRA member in any capacities on August 24, 2020, wherein FINRA made findings that Mr. Slocum: (1) failed to respond to FINRA s May 21, 2020 and June 15, 2020 requests for the production of information and documents. FINRA determined that Mr. Slocum s failure to respond to FINRA s requests warranted a permanent bar under FINRA Rule 9552(h). Unde
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