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By Melanie Waddell, AdvisorOne |
March 26, 2013
The Massachusetts Securities Division is seeking comment on whether to require criminal background checks for advisors registering in the state.
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By Marlene Y. Satter, AdvisorOne |
December 21, 2011
Advisors, listen up: if you aren’t already doing all the things your compliance manual and supervisor say you are, you’d better start.
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By Melanie Waddell, AdvisorOne |
July 15, 2011
Two areas of uncertainty remain for BDs regarding FINRA's new rule requiring operations personnel to take a FINRA exam: which personnel must take the exam and which exam they will take.