Webb1 . state of new york. office of the attorney general. letitia james division of economic justice attorney general investor protection bureau. february 8, 2024 . guidance on mandatory registration for investment adviser representatives (13 nycrr 11.4, 11.6 and 11.7) effective february 1, 2024. Webb8 okt. 2024 · Every investment adviser representative (IAR) registered in a jurisdiction that adopts the model rule will be subject to its CE requirements. The program applies to all registered IARs of both state-registered and federal covered investment advisers in …
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Webb10 nov. 2024 · For some IARs, registration in a new state may require jumping some regulatory hurdles. Although many states waive examination requirements for individuals currently registered in another state ... WebbIARs currently operating under existing rules (e.g., IARs affiliated with state-registered advisors who have filed a NY-IAQ) may continue to do so until December 2, 2024, provided they apply for registration with NY by August 31, 2024. IARs will also be required to meet the Series 65 (or a combination of the Series 7 and 66) exam requirements. cunning energy reviews
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Webb19 apr. 2024 · IARs must be properly registered, and, at a minimum, complete credentialing exams certified by FINRA and other required regulatory agencies. IARs are often required to pass the Series 63 and... Webb12 apr. 2024 · Requires IARs of both state-registered and federal covered investment advisers seeking registration or renewal of IAR registration to complete 12 CE credits each year; Provides that IARs must complete six credits of regulatory and ethics content and six credits of compliance and practice content; WebbThe deadline for discounted room rates is March 10, 2024. Online Registration Available: Now Open! Early bird rates end February 17, 2024. General Abstract Submission Notifications: Sent on February 3, 2024. IARS Late Breaking Abstract Submission … cunning folk and familiar spirits pdf