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What advisors need to know about FINRA's Maintaining Qualifications Program.

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

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...

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)...