Maryland has joined Mississippi and Vermont on a growing list of state jurisdictions using January 1, 2022, as the effective date for new continuing education (CE) requirements. Within those states, Investment Adviser Representatives (IAR) must annually complete twelve (12) CE … Read More

Regulators have sent a chilling message to the securities industry by imposing record fines for widespread and longstanding failures against J.P. Morgan Securities LLC, a subsidiary of JP Morgan Chase & Co., a multinational investment bank and financial services company. The … Read More