Request Whitepaper for Agencies
TRANSFORM PRODUCER LICENSE COMPLIANCE: IMPLEMENTING AN EFFICIENT COMPLIANCE PROCESS
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| Date | State | Title |
|---|---|---|
| Fri, Aug 16 2024 | IARD | Information regarding the IARD 2025 renewal process has been released. |
| Date | State | Title |
|---|---|---|
| Wed, Jan 08 2025 | NASAA | NASAA announces updates to Electronic Filing Depository (EFD). |
| Mon, Dec 30 2024 | NASAA | NASAA amends the model rule for examination requirements for Broker-Dealer Agents |
| Mon, Dec 30 2024 | NASAA | NASAA amends the model rule for examination requirements for Investment Adviser Representatives |
| Wed, Sep 18 2024 | NASAA | NASAA announces 2025 fee schedule for IARD system. |
| Wed, Sep 04 2024 | NASAA | NASAA requests comments on proposed amendments to examination requirements. |
| Date | State | Title |
|---|---|---|
| Fri, Jan 03 2025 | FINRA | FINRA reminds firms to respond to final renewal statements in E-Bill and review reports. |
| Wed, Nov 06 2024 | FINRA | FINRA announces 2025 renewal information |
| Wed, Sep 18 2024 | FINRA | FINRA changes the date to comply with identifying Residential Supervisory Locations (RSLs). |
| Mon, Sep 16 2024 | FINRA | FINRA proposes a rule change to amend Form U4 and FINRA Rule 3110.19(d) for new RSL question. |
| Fri, Aug 16 2024 | FINRA | FINRA releases information regarding its 2025 renewal process. |
| Mon, July 22 2024 | FINRA | FINRA implemented Form BR functionality enhancements for initial submissions. |
| Thu, July 18 2024 | FINRA | FINRA implemented Form BR functionality enhancements for initial submissions. |
| Tue, July 16 2024 | FINRA | FINRA has added a column to its SRO Fees & Setting Schedules to identify state adoption of RSLs. |
| Date | State | Title |
|---|---|---|
| Wed, Dec 16 2023 | Virgin Islands | Virgin Islands will require resident insurance licensees to complete CE prior to the 2025 license renewal. |
| State | Department of Insurance | Department of Insurance Legal Rules and Bulletins | General Insurance Code / Statutes |
|---|---|---|---|
| Puerto Rico (PR) | DOI | Rules and Bulletins | Statutes |
| State | Department of Insurance | Department of Insurance Legal Rules and Bulletins | General Insurance Code / Statutes |
|---|---|---|---|
| District of Columbia (DC) | DOI | Rules and Bulletins | Statutes |