SRO has yet to finalize its approach to determining which courses will qualify
Advisors could face suspensions if their firms don’t report credits on time
The MFDA’s public and industry directors have also been approved
The SRO’s proposed rules got the thumbs-up on Thursday
Regulator may outsource task of accrediting CE activity to third-party firms
Proposed changes aimed at simplifying regime out for comment until Aug. 26
If you’re an MFDA advisor, expect a published rule on continuing education (CE) requirements late this year or early 2018. Read: IIROC continuing education rules are here The self-regulatory organization (SRO) aims for CE requirements “to establish minimum standards for individuals to keep their industry knowledge current and maintain a high standard of professionalism.” Before […]
Looking to squeeze in credits before year end? We can help.
The authors identify 34 concrete, detailed strategies to improve client relationships, perform better discovery and give better advice.
Take advantage of the slower summer months to earn your credits.