
By Buddy Doyle
Share ArticleNASAA published two model rules in November 2020 related to continuing education requirements and written policies and procedures. While each state determines whether to adopt model rules, you should familiarize yourself with the requirements, not just so you can comply, but because some of the requirements are just good business practices.
For the do-it-yourself-er, NASAA included a 10-page grid of some of your regulatory requirements to help you map and develop your written policies and procedures.
If you prefer to spend your time focused on other things, consider getting a hand with compliance initiatives or outsourcing your compliance to dedicated professionals.
Oyster Consulting offers free resources to help you achieve success. Listen to our podcasts, read our blogs, or follow us on LinkedIn to hear from our experienced industry practitioners about ways to protect, run and grow your organization.
Learn how Oyster Solutions creates an efficient, effective compliance program that protects your firm and provides value.
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