SRO limits margin accounts to Level 4 dealers in final phase of rule consolidation project
Certification body cites quality, while CE providers warn of less choice and educational gaps for financial planners
During a fireside chat, Kelly Gorman also presented a plan for increasing membership and promoting the CLU
Regulator proposes knowledge standards under new crypto regime
SRO sets out common requirements, contemplates shift to annual CE cycle
Firm to help build infrastructure for new exam-based approach to reps' education
Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more
SRO drops firm sponsorship requirement, among other changes
With cash flow stabilized, the national association for financial advisors is planning for recovery
SRO integration and investor protection also on the agenda