FINRA’s 2018 Regulatory & Examination Priorities LetterJanuary 9, 2018/in FAQ, Informational, News, Regulatory Updates/by Shannon Sandersonhttp://www.finra.org/industry/2018-regulatory-and-examination-priorities-letter https://www.acisecure.com/wp-content/uploads/2017/04/HR16451412Purchased.jpg 2048 1373 Shannon Sanderson /wp-content/uploads/2016/11/aci.finop-logo3-300x123.jpg Shannon Sanderson2018-01-09 12:43:362018-01-12 09:11:29FINRA’s 2018 Regulatory & Examination Priorities Letter
Broker Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018November 13, 2017/in Informational, News, Regulatory Updates/by Shannon Sandersonhttp://www.finra.org/industry/notices/17-35 https://www.acisecure.com/wp-content/uploads/2017/04/GettyImages_71086448.jpg 2048 1355 Shannon Sanderson /wp-content/uploads/2016/11/aci.finop-logo3-300x123.jpg Shannon Sanderson2017-11-13 13:19:002017-11-13 13:19:00Broker Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018
FINRA to Streamline Competency Exams – www.FINRA.orgNovember 6, 2017/in Informational, News, Regulatory Updates/by Shannon Sandersonhttp://www.finra.org/investors/highlights/new-finra-exam-open-doors-financial-industry https://www.acisecure.com/wp-content/uploads/2017/04/GettyImages_83331253.jpg 2048 1536 Shannon Sanderson /wp-content/uploads/2016/11/aci.finop-logo3-300x123.jpg Shannon Sanderson2017-11-06 12:57:392017-11-06 12:58:25FINRA to Streamline Competency Exams – www.FINRA.org
FINRA Plans BrokerCheck Changes, Remote Exams – www.ThinkAdvisor.comNovember 6, 2017/in Informational, News, Regulatory Updates/by Shannon Sandersonhttp://www.thinkadvisor.com/2017/10/06/finra-plans-brokercheck-changes-remote-exams?page=1&slreturn=1509990198 https://www.acisecure.com/wp-content/uploads/2017/04/87782472.Photos.com_.Purchased-1.jpg 1366 2048 Shannon Sanderson /wp-content/uploads/2016/11/aci.finop-logo3-300x123.jpg Shannon Sanderson2017-11-06 12:52:042017-11-06 12:52:04FINRA Plans BrokerCheck Changes, Remote Exams – www.ThinkAdvisor.com
