20-04094(3).pdf
order to confirm
CIIA
Chartered International Insurance Advisor (CIIA)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Inter-American Institute of Insurance |
| Qualification and Training Requirements | |
| Prerequisites | Three years of industry experience |
| Designation Training Requirements | Eight training courses, online or in-person |
| Designation Exam Type | Proctored, closed book, final course exams |
| Continuing Education Requirements | 10 hours every two years |
| Verification and Complaints | |
| Online Designation Resource | Online at Professional Designation Check |
| Investor Complaint Process | Submit complaints online at File a Complaint |
| Published List of Disciplined Designees | Online at Disciplined Individuals by Country |
IRMAACP
IRMAA Certified Planner (IRMAACP)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | IRMAA Certified Planner LLC |
| Qualification and Training Requirements | |
| Prerequisites | None |
| Designation Training Requirements | Online or in-person, self-paced training course |
| Designation Exam Type | Online, proctored, closed book exam |
| Continuing Education Requirements | Two hours annually |
| Verification and Complaints | |
| Online Designation Resource | Online at Find a Certified Planner |
| Investor Complaint Process | Submit complaints online at IRMAACP Code of Conduct |
| Published List of Disciplined Designees | None |
2023078877501 Elizabeth Ashley Nichols CRD 7321603 AWC lp (2023-1699143606391).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078877501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Elizabeth Ashley Nichols (Respondent)
CRD No. 7321603
Pursuant to FINRA Rule 9216, Respondent Elizabeth Ashley Nichols (Nichols) submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.
SR-FINRA-2023-013
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to revise and restate the qualifications for representatives in arbitrations and mediations.
2022073891501 Stephen Kiyoshi Takeda CRD 1100052 AWC vr (2023-1699143606399).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022073891501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Stephen Kiyoshi Takeda (Respondent)
Former General Securities Representative
CRD No. 1100052
Pursuant to FINRA Rule 9216, Respondent Stephen Kiyoshi Takeda submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.