Entries by Meghan Flanagan

NSCP Quarterly Member Bulletin: A Look Back at Q1

Investment adviser representatives play an important role in the financial lives of millions of Americans, yet unlike most financial services professionals they are not independently required to meet a continuing education requirement to maintain their licenses to work with investors.

View the recorded version of our Form ADV workshop

The SEC’s recently announced share class initiative is a dramatic new step in the SEC’s ongoing scrutiny regarding recommendations of mutual funds by registered investment advisers. Firms will want to consider whether they are eligible and wish to take advantage of the Initiative and self-report violations.

NSCP Member Bulletin

Investment adviser representatives play an important role in the financial lives of millions of Americans, yet unlike most financial services professionals they are not independently required to meet a continuing education requirement to maintain their licenses to work with investors.