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New Self-Regulatory Organization releases Interim Rules
Submitted by Rica Zara on August 4, 2022 - 12:00am
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New Self-Regulatory Organization releases Interim Rules
Changes to Registration Categories, Proficiency Requirements and Directed Commissions 

The CSA has published interim rules for the New SRO which will serve as a stop-gap measure until the larger harmonization of the rule books can be completed. Even so, the interim rules bring about some key changes that will impact advisors and dealers, including the introduction of a new class of registered firm; new proficiency requirements for certain categories of approved persons; the approach to continuing education requirements; and developments regarding directed commissions. 
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