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Regulation A+ has arrived! A long standing exemption from the rigorous registration requirements

FINRA has published a regulatory notice (15-20) with further guidance on the Securities Industry

UPDATE 5/29: FINRA has put out a request for comment and a proposed draft Securities Industry Ess

Dear Clients, Colleagues, Family & Friends, As Knopman Financial Training enters its 24th yea

Securities industry regulations have long maintained that within a broker-dealer, the research te