Regulatory Alerts2000-03-31
Added · Updated
Spring 2000 Securities Bulletin
The Connecticut Department of Banking amended its December 2, 1999 Order to correct the name of the entity awarding the CFP designation to the Certified Financial Planner Board of Standards, Inc. Effective January 1, 2000, the Modified Series 65 and Series 66 examinations are accepted as substitutes for the Series 65 requirement for new investment adviser agent applicants. Individuals registered as investment adviser agents or advisers on January 1, 2000, or those with two years of continuous prior registration, are grandfathered from the examination requirement. The Commissioner may also waive the examination for holders of specific professional designations, including CIC, CFA, PFS, and CFP.
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