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Investment advisors can now join brokers in being able to retain their professional certifications for five years under a program ...
In proposing modified conduct standards for broker-dealers, a state regulators group maintains it's merely trying to mirror federal rules.But industry ...
By paying a $35 fee and completing some continuing education, brokers who've temporarily left the industry would be able to ...
There's good news and bad news for planners seeking state registration as independent advisors with the North American Securities Administrators ...
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