New release on social media rules. If you are a hybrid advisor, check with both the B-D compliance group and the CCO of your RIA before diving in!
As always, please contact us with any questions on your particular situation
Here's the FINRA notice...
Regulatory Notice 11-36
As always, please contact us with any questions on your particular situation
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
Effective Date: September 1, 2011
Executive Summary
FINRA has filed for immediate effectiveness amendments to Section 4 of Schedule A to the FINRA By-Laws to establish a fee for individuals who cancel or reschedule a qualification examination or Regulatory Element Continuing Education (Regulatory Element) session three to 10 business days prior to the appointment date. The changes are effective September 1, 2011.
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