Subscribe

FINRA: Surveying advisers on job duties to update exams begins

Starting June 30, the Finra began conducting surveys of advisers in order to gather information to update the…

Starting June 30, the Finra began conducting surveys of advisers in order to gather information to update the Series 6, 16, 24 and 26 qualification examinations. Finra is seeking input from advisers on their roles, responsibilities and job functions so that it can ensure that examination content reflects the requirements of an adviser’s daily work. Read the survey notice here.

Related Topics:

Learn more about reprints and licensing for this article.

Recent Articles by Author

Best- and worst-performing equity funds

By category, ranked by one-year total returns.

The top-performing socially conscious funds

A look at the ESG funds that have performed the best as socially responsible investing has grown in popularity.

Custodians ranked by number of RIA custody clients

Firm Address City, State Zip Phone Website Head of RIA custody business 2014 # of clients % change…

Long-term care carriers

Provider data covering new and in-force policies and premiums

X

Subscribe and Save 60%

Premium Access
Print + Digital

Learn more
Subscribe to Print