Statement on Modernization of the Accredited Investor Definition(sec.gov)

7 pointsby sunils34vor 6 Jahren1 comments

Statement on Modernization of the Accredited Investor Definition

https://www.sec.gov/news/public-statement/clayton-accredited-investor-2020-08-26

1 comments

idealsvor 6 Jahren

> The initial certifications include the Financial Industry Regulatory Authority, Inc. (FINRA) Licensed General Securities Representative (Series 7), Licensed Investment Adviser Representative (Series 65), and Licensed Private Securities Offerings Representative (Series 82) certifications.

These are the qualifying certs to be eligible under the new guidelines. To take one of those exams to get the cert you also need to meet this req,

> Candidates must be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization (SRO) member firm to be eligible to take FINRA representative-level qualification exams.