Can’t Help but Dwell: My apologies for beating the dead horse that comprises some of the less noticeable points contained in FINRA’s still recent (in the scheme of major rule changes) revision of the licensing schemata of October 2018. This post is short and sweet. Let’s discuss Permissive Registrations, shall we? But first, in case… Read More »
BD - CRD
FINRA’s New Licensing Requirements
In late 2017 FINRA provided notice of a series of changes to be made to the Qualification and Registration rules. On October 1, 2018 those changes became effective. One of the most interesting changes, for no other reason than that it concerns the creation of a new level of qualification and hence a new… Read More »