In an interview with AM Best TV, Allister Yu, VP of Operations at Rhoads, said organizations that focus on learning from their own information can become more efficient and make informed decisions.
In an interview with AM Best TV, Allister Yu, VP of Operations at Rhoads, said organizations that focus on learning from their own information can become more efficient and make informed decisions.
Date | State | Title |
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Fri, Aug 16 2024 | IARD | Information regarding the IARD 2025 renewal process has been released. |
Date | State | Title |
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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 |
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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 |
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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 |
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Puerto Rico (PR) | DOI | Rules and Bulletins | Statutes |
State | Department of Insurance | Department of Insurance Legal Rules and Bulletins | General Insurance Code / Statutes |
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District of Columbia (DC) | DOI | Rules and Bulletins | Statutes |