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FINRA established Rule 3241 in order to enhance investor protection, including addressing misconduct that may stem from the conflicts of interest presented by these arrangements.
FINRA recently highlighted Rule 3241 in the 2023 Regulatory Element Learning Plan. Rule 3241 became effective in early February 2021 and prohibits a registered person from being...
On Tuesday, the Municipal Securities Rulemaking Board filed a proposal with the SEC to changing Rule G-3, which governs continuing education requirements.
What advisors need to know about FINRA's Maintaining Qualifications Program.
Persons registered with a broker-dealer historically have had two years from their Form U5 filing date to re-register with another firm before their prior qualifications (examinations)...