Finra sets big change in motion with new option for licensing grace period

June 23, 2022

Wendy Lanton, Herold & Lantern Investments Chief Complaince Officer, discusses Finra's new licenses grace period for Registered Representatives with Investment News.  In short, the new rule creates a five-year grace period during which registered reps can maintain their credentials by taking continuing education, even if they’re not actively working in the industry. The prior period was two years. Continue reading

 

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Wealth Advisory solutions provided by subsidiaries of Percheron Asset Management Group, Inc.: Herold Advisors Inc. and Lantern Wealth Advisors, LLC., SEC registered investment advisors. Securities offered through Herold & Lantern Investments Inc., a registered broker dealer, Member FINRA, MSRB, SIPC.

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