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Exam Content, Knopman News, Series 65, Series 66

Overview: New SEC Regulation Best Interest (Reg BI)

June 10, 2020 by Marcia Larson No Comments

New SEC Regulation Best Interest (Reg BI) raises the bar for broker-dealer conduct when making recommendations to retail customers. Effective…

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Exam Content, Knopman News

The SECURE Act: How It Will Impact Your Securities Exam

January 27, 2020 by Suzanne Riss No Comments

A new retirement savings law, the Setting Every Community Up for Retirement Enhancement Act (the SECURE Act), took effect January…

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Rule Change Updates
Exam Content

Tax Related Updates for Series Exam Candidates

January 26, 2018 by Marcia Larson No Comments

The recent tax law, Tax Cuts and Jobs Act of 2017, implements significant tax reform for individuals, businesses, and municipalities…

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Rule Change Updates
Exam Content, FINRA News

New Year, New FINRA Financial Exploitation Rules

January 19, 2018 by Marcia Larson No Comments

FINRA rules for protection against financial exploitation for seniors and other specified adults are effective February 5, 2018. The two…

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Rule Change Updates
Exam Content

DOL Delays Fiduciary Rule Provisions for 18 Months

November 29, 2017 by Marcia Larson No Comments

On November 27, the Department of Labor announced an implementation extension for certain controversial provisions of its “Fiduciary Duty Rule’ that…

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