The SEC’s New Marketing Rule for Investment Advisers modernizes requirements for adviser advertising and solicitation. These changes are the first modifications to investment adviser advertising rules since 1961 and were long overdue to address rapidly evolving business practices …
Author: Marcia Larson
Is success on the Series 65 and Series 66 licensing exams posing a challenge for your candidates? It’s no secret that these are tough exams. In fact, candidates who easily pass other exams are not always so successful with either …
Passing the Series 6 Exam requires diligent preparation and concept mastery. Though there’s no easy way to breeze through the prep process, it helps to know what to expect. The tips below will help you study smart and earn that extra boost of confidence that is …
If you plan to be an investment adviser, you will need to take the Series 65 or Series 66 Exam. In response to student feedback, Knopman Marks training for the Series 65 and Series 66 Exams now offers more coverage of insurance products, portfolio management, performance measures, and retirement …
Effective March 15, a new SEC regulation will change certain registration exemptions to increase and streamline access to capital. These regulatory exemptions are critical to entrepreneurs, emerging businesses, and investors because they provide less complex and lower-cost alternatives …
Meet Justina, a seasoned insurance agent with a large client base. Eager to deepen her relationships and grow wallet share with her clients, she’s been encouraged to take the Series 6 Exam so she can help them with …