The regulatory agency originally planned to resume arbitration and mediation proceedings at the end of January, but they can now proceed only via Zoom or teleconferencing.
The proposal is based on the NAIC's model regulation intended to align with Reg BI. But if a Biden administration urges changes to the SEC rule, how will states approach amending their own annuity regulations?
Thomas A. Sporkin will join the board in January as the managing director, enforcement, and will be tasked with modernizing the board's detection, investigation and prosecution processes.
The SEC said Anson Jean-Pierre told investors the funds would be used to develop projects in Haiti, but he actually spent some of the money on things like retail and travel purchases.
The three advisors at the San Diego–based Nautica Wealth Advisors had all previously been affiliated with the independent broker/dealer and are reconnecting with the company from Cetera.
The states are the two latest to create their own regulations based off the model passed by the National Association of Insurance Commissioners earlier this year.
Through the DOL and the SEC, the new administration has an opportunity to change the regulatory direction for sustainable investing, according to a recent Morningstar report.
In addition to the new accreditation, the college also released survey results indicating financial professionals saw a benefit to behavioral finance training in improving their practice.
