Weekend Reading For Financial Planners (Nov 5-6) 2022
CFO News Room
NOVEMBER 5, 2022
Notably, while an office of supervisory jurisdiction is subject to an annual inspection by the parent brokerage, the new RSLs would only be subject to examination once every three years (reducing the compliance burden on the brokerages, as a growing number of RSLs would expand the number of locations requiring inspections).
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