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The regulator will save members tens of millions of dollars by helping them verify advisors’ Form U4 financial disclosures, Robert Cook says.
May 22 -
Many planners see this exam as a must-have credential. Want to ace it? Have a plan.
May 21 -
NASAA President Joseph Borg also vowed to work with SEC Chairman Jay Clayton’s team on improvements to the Regulation Best Interest proposal.
May 8 -
Failing the test can be devastating, but you shouldn’t quit. Avoiding these mistakes may help you earn a coveted passing grade.
April 19FPA of Middle Tennessee -
The agency is using alternatives to enforcement actions such as targeted exams, deficiency letters and a self-reporting initiative.
March 16 -
Commission prioritizes retail investors as OCIE issues its must-read compliance letter.
February 8 -
The regulator outlined the top priorities for 2018 examinations.
January 8 -
A recent report provides insights into the regulator's concerns, that include cybersecurity, anti-money laundering and alternative investments.
December 7Cipperman Compliance Services -
State administrators find reason for scrutiny in advisors’ increasing use of flat fees.
October 20 -
One key factor is the adviser’s tone during the exam – is it conciliatory or defiant? And remember, the examination and enforcement divisions know each other.
June 14