So-called “statutory disqualification” is unquestionably a punitive and even career-killing penalty for a financial adviser so tagged by the Financial Industry Regulatory Authority.
It still has some ground to pave legislatively prior to becoming law, but a California Senate bill seeking a material adjustment in the debt-collection industry unquestionably has traction.
The bulk of advisers, brokers, CPAs and other professionally licensed individuals working in the financial sector across the United States are regulated by the federal Financial Industry Regulatory Authority.
The penalties that a California attorney facing administrative and legal challenges can face are both multiple and severe.
California commands an economy that is unrivaled for its scope and diversity by any other American state. In fact, California’s economic clout is exceeded by only a few nations across the globe.
Noting that a California worker faces one or more regulatory hurdles owing to a matter focused on his or her professional license does not imply much.
California’s financial professionals know a thing or two about regulation.
California lawyers comprise a singular classification.
As a physician, you know you have a responsibility to your patients. Among other things, this means making sure that you don’t allow drugs or alcohol to impair your judgment or performance.
If you want to work for the military or another government agency, you may need a security clearance. Even people who’ll never deal with sensitive information may need clearances simply to work in buildings that house some of the nation’s deepest secrets.