Author Archives: cindihill

NASAA Updates: Latest News NASAA Launches Exam Validity Extension Program for Investment Adviser Representatives Oct 31, 2023 11:38 am | Karen Grajales WASHINGTON, D.C. – (October 31, 2023) – The North American Securities Administrators Association (NASAA) today announced the launch … Continue reading →

Hi all – I have a client that has transitioned from TD Ameritrade to Schwab. They are looking for someone that has used both custodians and has used TD and Schwab’s docusign or digital onboarding. They have some questions. If … Continue reading →

The following email, supposedly from FINRA is making the rounds. It is a scam. Submission of One or More Data Items Is Due This request has been issued by Investment Adviser Registration Depository (IARD), (FINRA) and U.S SEC. Following the … Continue reading →

There is another FINRA phishing scam that has been going out. The email appears to be from Jeffrey Kalinowski at FINRA. He really works at FINRA, but the email is a scam. Don’t click on any links in the email.

Cybersecurity Guidance for Investment Advisers Managing ERISA plans Jun 03, 2021 03:51 pm | by Jaqueline Hummel, Partner and Managing Director, Hardin Compliance For Investment Advisers and Broker-Dealers DOL issues Cybersecurity Guidance.  On April 14, 2021, the U.S. Department of … Continue reading →

EMAIL SCAM Many of you may have received the FINRA: New Request email below. It is a scam. FINRA: New Request                          View Request                                       Case202106980000Request ID3989971Date Requested06/07/2021FINRA RequesterTa’She Spencer-Clifton                                                                                                                                            Dear Eileen,A Firm Compliance Request has been issued by FINRA for your … Continue reading →