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FinCEN Issues Proposed Rule for Beneficial Ownership Information Reporting Requirements | Goodwin

In This Issue. The Financial Crimes Enforcement Network (FinCEN) announced (1) a notice of proposed rulemaking for beneficial ownership information reporting requirements and (2) a. ....

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FINRA Extends the Registration Qualification Window from Two to Five Years After Termination | Goodwin

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). ....

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FINRA Rule Changes Let Out-Of-Work Registrants Keep Qualifications

FINRA announced a number of changes to its continuing education requirements, including that registrants must take CE requirements annually. ....

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