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NASAA model rules would let advisors maintain licenses for 5 years following registration lapse

Published: September 24, 2022

The proposal mirrors FINRA's policy requiring annual continuing education.

Source: financial-planning.com

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FINRA seeks to lessen the burden (and urgency) to return to the Financial Service Industry | Foreside

Published: December 17, 2021

FINRA is amending their rules that govern registration and continuing education and implementing a Maintaining Qualifications Program to extend the timeframe a terminated...

Source: jdsupra.com

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