Taiya is a licensed Investment Advisor with SLE Assets in Moncton. Based on changes to her personal circumstances, some of the answers on her National Registration Database (NRD) application are no longer valid. What are the notification requirements for these changes? a. Taiya and SLE have 30 days to notify the SRO. b. Taiya must notify the CIRO within 30 days. c. SLE must notify the CIRO immediately. d. Taiya and SLE must notify the SRO immediately.
Added by Vicki C.
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Step 1: Identify who must notify and the timeframe for changes to personal circumstances on NRD. Show more…
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