The changes include allowing individuals to retain their qualifications for up to five years provided they keep up with continuing education mandates. FINRA believes the changes will help people more easily return to the industry after extended absences.
The number of standalone enforcement actions climbed year-to-year from 2020, while whistleblower awards passed $1 billion since issuing its first award nearly a decade ago.
Christopher Andreach, who managed about $500 million in assets, rejoined his former firm in its Florham Park, N.J., office after spending only a few months at UBS Financial Services.
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