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Key Insights and Practical Steps for Employee Compliance As the fiscal year begins, the Securities and Exchange Commission (SEC) has unveiled its 2025 Examination…
The Partnership Combines Star’s Registration Management System with SIA’s Exam Training Portfolio Rockville, MD – May 2, 2023 – StarCompliance (“Star”), a leading SaaS…
The process of registering for and obtaining a financial securities license can be a complex and time-consuming nightmare.
Zero. That’s how much revenue your registered reps may be generating for the two to three months it takes to complete the license-and-registration process.
License & Registration will improve visibility into the multistep license-and-registration process and provide a direct electronic connection to the regulator, FINRA
