The North American Securities Administrators Association ("NASAA") undertaking an online national jobs analysis survey of investment advisers and broker-dealers to ensure that content covered by the Series 63, 65 and 66 exams aligns with current job requirements.
California's Department of Financial Protection & Innovation has complied this summary of new laws that affect or may otherwise be of interest to persons licensed by the department.
An SEC final rule amending certain annual reporting and registration forms (Forms 20-F, 40-F, 10-K and/or N-CSR) to implement disclosure requirements under the Holding Foreign Companies Accountable Act ("HFCA") will go into effect on January 10, 2022.