News & Analysis as of

Financial Industry Regulatory Authority (FINRA) Continuing Education

Orrick, Herrington & Sutcliffe LLP

FINRA reminds registered firms of continuing education requirements

On July 12, FINRA reminded registered firms of upcoming continuing education deadlines in an information notice. FINRA noted all registered persons must complete the Regulatory Element of their continuing education as...more

Goodwin

FINRA Proposes Extending the MQP CE Window

Goodwin on

On April 30, 2024, FINRA proposed amendments its Maintaining Qualifications Program (“MQP”) to reopen the period in which certain participants can complete their prescribed 2022 and 2023 continuing education (“CE”)...more

Stark & Stark

California & Hawaii Adopt Investment Adviser Representative CE Requirements for 2024

Stark & Stark on

Investment adviser representative continuing education requirements are critically important. Please read this alert carefully, as investment adviser representative registration may be at risk if you do not follow the...more

Goodwin

FINRA Extends the “Maintaining Qualifications Program” Enrollment Window for Brokerage Reps U5’d Before March 15, 2022

Goodwin on

Previously registered representatives who missed the prior deadline now have until December 31, 2023 to enroll.  Registered brokerage representatives historically had two years from their Form U5 filing date to...more

Morrison & Foerster LLP

California Proposes Adopting IAR Continuing Education Model Rules

Morrison & Foerster LLP on

The California Department of Financial Protection and Innovation (DFPI) has proposed to adopt rules that would require investment adviser representatives (IARs) to complete 12 credit hours of continuing education courses each...more

Goodwin

FinCEN Issues Proposed Rule for Beneficial Ownership Information Reporting Requirements

Goodwin on

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 regulatory process for new real estate...more

Goodwin

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

Goodwin on

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) would lapse. This two-year window often...more

Goodwin

FINRA Adopts New Rules to Address Firm Misconduct

Goodwin on

In This Issue. The Financial Industry Regulatory Authority (FINRA) adopted new rules to address firms with a significant history of misconduct; the Securities and Exchange Commission (SEC) issued an order approving rule...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume XII, Issue 39

SEC/CORPORATE - SEC Announces Rule Proposal to Modernize, Simplify and Increase the Accessibility of Required Disclosure - On October 11, the Securities and Exchange Commission issued a press release announcing that it...more

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