Financial Advisor Training

Regulatory Review Checklist: Top three items you will need on-hand when it comes to Advisor Education Activities

Tuesday, May 13th, 2014 and is filed under AI Insight News

Considering the sheer size of the financial industry in the United States, you may think the odds of a regulatory review are fairly slim. However, FINRA Chairman and CEO Richard Ketchum recently stated that while FINRA regulates about 4,100 brokerage firms and about 635,000 registered securities representatives, “we are out there on the ground and in the field every single day—in offices all across the country—overseeing virtually every aspect of the securities business.” Read More

This material is for informational and discussion purposes only and is not intended, and may not be relied on in any manner, as legal, tax or investment advice, any recommendation or opinion regarding the appropriateness or suitability of any investment strategy, or as an offer to sell or a solicitation of an offer to buy any financial instrument. All information is not warranted as to completeness or accuracy and are subject to change without notice. Any comments or statements made herein do not necessarily reflect those of iCapital, Inc., Institutional Capital Network, Inc., or its or their affiliates (“iCapital”).

This material is confidential, is the property of Capital and may not be shared without the written permission of iCapital. No part of this material may be reproduced in any form, or referred to in any other publication, without express written permission of Capital.

Regulatory Review Checklist: Top three items you will need on-hand when it comes to Advisor Education Activities

Recent Posts

AI Insight Blog