By Ralph Magee
Download the Capital Markets Services eBook to learn about CAT Reporting, Trade and Position Reporting, market Access and Best Execution.
Under amendments to Rule 15b9-1 proposed by the SEC on July 29, 2022, certain proprietary brokerage firms that are currently exempt from registering with FINRA would need to become members of the self-regulatory organization.
In today’s Oyster Stew podcast, Oyster CEO Buddy Doyle and Head of Business Development Dave Williams talk about challenges we are hearing from our clients, from managing the effects of industry trends and technology to succession planning.
In November 2020, the NASAA membership voted to adopt a model rule to establish a continuing education (CE) program for investment advisor representatives (IARs) in each state adopting the model rule. In 2021 Maryland, Mississippi and Vermont adopted the regulation with implementation in 2022.