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Are firms that are members of two or more SROs subject to redundant inspections for compliance with the continuing education requirements?

April 26, 2017compliance Continuing Education firms Inspections members redundant requirements SROs Subject

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Are firms that are members of two or more SROs subject to redundant inspections for compliance with the continuing education requirements?

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A. No. The SROs coordinate their field inspection efforts to avoid any unnecessary regulatory overlap for joint members. The SROs have developed a consistent approach to examining and enforcing both the Regulatory Element and the Firm Element requirements.