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New York Adopts New Registration and Examination Requirements for Certain Investment Adviser Related Personnel and Solicitors | Katten Muchin Rosenman LLP

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.

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How To Find A Qualified Life Insurance Advisor

KXLY
January 14, 2021 4:00 AM
Tony Steuer - Forbes Advisor
Posted:
Updated:
January 15, 2021 12:19 PM
All life insurance agents are not the same. Life insurance policies can be complex, so depending on your needs, you need an insurance agent who is qualified to help you find the right policy. Your agent should also be committed to providing ongoing service.
There are two main types of insurance agents:
Captive agents. These agents primarily represent one specific insurance company.
Independent agents. These agents represent multiple insurance companies.
This an important distinction, as captive insurance agents will generally recommend policies only from their primary insurance company. Captive insurance agents will in some instances offer policies from other companies—such as when the primary company does not offer the specific type of policy wanted or the client is not able to qualify for insurance.

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