2019062900001 Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691 AWC lp (2023-1685751598017).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062900001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Member Firm CRDNo. 7691 Pursuant to FINRA Rule 9216, Respondent Merrill Lynch submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

CDFS

Certified Divorce Financial Specialist (CDFS)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Designation Notes

Formerly known as Certified Divorce Specialist (CDS)
Issuing Organization Institute of Business & Finance
Qualification and Training Requirements
Prerequisites

Candidate must have:

  • a bachelor's degree or
  • one year of financial services work experience.
Designation Training Requirements

Self-study course, including written case study
Designation Exam Type

Online, proctored, closed-book exams
Continuing Education Requirements

30 hours every two years
Verification and Complaints
Online Designation Resource

Online at Find an Advisor
Investor Complaint Process

Submit complaints via mail to Executive Director, Institute of Business & Finance, P.O. Box 371243, San Diego, CA 91237.
Published List of Disciplined Designees

None

SR-FINRA-2022-015

Rule Filing Status:  Approved

Rule change to amend Rule 8312 (FINRA BrokerCheck Disclosure) to release information on BrokerCheck® as to whether a particular member firm or former member firm is currently designated as a “Restricted Firm” pursuant to Rule 4111 (Restricted Firm Obligations) and Rule 9561 (Procedures for Regulating Activities Under Rule 4111).

 

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