There's good news and bad news for planners seeking state registration as advisors with the North American Securities Administrators Association. Processing Content The good: The NASAA is reducing the ...

Topping a state regulators group's list of the common violations for investment advisors were failures to fill out registration forms properly and maintain accurate books and records. But in general, ...

The Series 63, 65 and 66 exams are getting a facelift. The North American Securities Administrators Association announced the exams, which are administered by FINRA, are receiving updated content ...

A roundup Monday of coordinated state investment advisor examinations so far in 2023 found that surprisingly, violations have plummeted over two years. Compared with exams in mid-2021, the North ...

U.S. broker-dealers still have a good deal of work to do to improve their dealings with senior clients, according to the preliminary results of compliance exams carried out by the North American ...

A series of more than 1,200 co-ordinated examinations of state-registered investment advisors by state securities examiners uncovered nearly 700 deficiencies involving cybersecurity, the North ...

Solomon Exam Prep's new editions of the Series 63, 65, and 66 Study Guides are now available. New editions of the Solomon Exam Prep Series 63, Series 65, and Series 66 Study Guides are now available.

State financial advisor exams uncovered 83 percent fewer instances of “unethical practices” this year than in 2011, but overall deficiencies were up, according to the North American Securities ...

'As a mother of three young kids ... I am so pleased to see NASAA recognizing the need for some flexibility,' an advisor says. By Mark Schoeff Jr. Sue Gardiner quit her position as a financial advisor ...