Tuesday, June 11th, 2013 and is filed under AI Insight News
FINRA recently issued Regulatory Notice 13-18: Communications With the Public to provide guidance to firms on communications with the public concerning unlisted real estate investment programs, including unlisted real estate investment trusts (REITs) and unlisted direct participation programs (DPPs) that invest in real estate. This notice can be read in its entirety here. Read More
Wednesday, May 1st, 2013 and is filed under AI Insight News
Please welcome Melissa Sanders, AI Insight’s new Director of Sales and Client Relations. Ms. Sanders started in the financial services industry in 1989. Prior to joining AI Insight, she was a Regional Director with SEI Investments, providing practice management advice to financial advisors. Her expertise in analyzing and streamlining their business models exponentially increased revenues, creating a different paradigm than the standard practice. Read More
Friday, March 29th, 2013 and is filed under AI Insight News, Press Releases
AI Insight is pleased to announce the addition of four Structured Products education modules consisting of Structured Certificates of Deposits, Principal Protected Structured Notes, Principal at Risk Structured Notes, and Structured Products Payout Structures Issuance Type. Each segment has been filed with the Certified Financial Planner Board of Standards, Inc., and will merit one continuing education credit (CE) upon completion. Read More
Friday, March 29th, 2013 and is filed under AI Insight News
Broker Dealers may now give access to program level training for non-license RIAs and non-license support staff. These two new functions have been added along with our current Financial Advisor and OSJ functionality. The function assigned to the user will determine what access they have on the site. Non-license RIA users will be given access to view and take education modules on approved Alternative Investments programs available only on RIA platforms as indicated in the program summary. Non-license support users will be given access to view and take education modules on approved alternative investment as Financial Advisors, however each firm’s compliance log will indicate they are a support user and do not hold the appropriate license to sell the program. Read More
Friday, February 1st, 2013 and is filed under AI Insight News
February 1, 2013 – The Investment Program Association (IPA) recently announced the launch of E-Learning Course 3: Investing in Non-Traded REITs, which is also available through AI Insight. This course joins E-Learning Course 1: Fundamental of Direct Investments and E-Learning Course 2: Introduction to Portfolio Construction and Management with Direct Investments to further expand high level, comprehensive education for Advisors and support staff in the Broker Dealer and Sponsor communities.
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Saturday, January 5th, 2013 and is filed under AI Insight News
January 5, 2013 – Field OSJs and Home Office Supervisors now have the ability to select exactly which Advisor activity alerts they would like to receive via email. This new feature provides a much more targeted way to keep track of what Advisors are doing within the AI Insight system.
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Thursday, January 3rd, 2013 and is filed under AI Insight News
January 3, 2013 – To strengthen the effectiveness of our education modules and enhance Advisor understanding, AI Insight has added additional suitability questions to the master test and marked them as required in the core test.
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Saturday, December 15th, 2012 and is filed under AI Insight News
December 15, 2012 – FINRA Regulatory Notice 12-55: Guidance on FINRA’s Suitability Rule. In November 2010, the Securities and Exchange Commission approved FINRA Rule 2111 (Suitability), which became effective on July 9, 2012. In May 2012, FINRA issued Regulatory Notice 12-25, which provides guidance on the rule in a frequently asked questions format. This Noticeaddresses two issues discussed in Regulatory Notice 12-25: the scope of the terms “customer” and “investment strategy.” In addition, FINRA has created a suitability web page that, among other things, will locate in one place questions and answers regarding FINRA Rule 2111. The suitability website can be found here and Notice 12-55 can be read in its entirety here.
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Wednesday, November 30th, 2011 and is filed under AI Insight News
AI Insight has added two new members to its business development and client relations teams. Michael Kell has joined the firm as the Director, Business Development and Data Services and Jennifer Ronan has assumed the role of Manager, Broker Dealer Relations.
As Director of Business Development and Data Services at AI Insight, Mike is charged with managing the on-going product updates and content associated with the web based database. In addition, he will work closely with the CEO, Sherri Cooke, and COO, Jennifer Simon, to develop and implement the firm’s business development initiatives. Most recently, Mike was a Compliance Analyst at Cadaret, Grant & Co., Inc. and prior to that was a financial advisor with First Command Financial Planning. He received his MBA from the Sorrell College of Business at Troy University and has held FINRA Series 3, 6, 7, 22, 24, 63 and 65 licenses as well as a New York State Life, Health and Variable Contracts license.
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