BCF

Board Certified Fiduciary (BCF)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Center for Board Certified Fiduciaries
Qualification and Training Requirements
Prerequisites

Candidates must have industry experience and participate in a pre-registration interview to determine eligibility.
Designation Training Requirements

Candidates must complete the following coursework, available through in-person, virtual or blended instruction, followed by a peer review:

  • 15 hours of instruction for the Certificate in Fiduciary Leadership and
  • 20 hours of instruction for the Certificate of Applied Fiduciary Practices.
Designation Exam Type

Two closed book, proctored final exams
Continuing Education Requirements

None
Verification and Complaints
Online Designation Resource

Online at www.c-bcf.com/specialty-leaders
Investor Complaint Process

Online at www.c-bcf.com/contact
Published List of Disciplined Designees

No

Regulatory Notice 23-10

Summary

FINRA requests comment on a proposal to facilitate centralized access to members’ order execution quality reports for NMS stocks that are required to be published by market centers under Rule 605 of Regulation NMS. Under the proposal, FINRA members would be required to provide their Rule 605 reports to FINRA, which FINRA would publish in a centralized location on the FINRA website.

Questions regarding this Notice should be directed to:

2021072142202 Roger Lee Arnold CRD 5284151 OHO Decision df (2023-1688084412974).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROGER LEE ARNOLD (CRD No. 5284151), Respondent. Disciplinary Proceeding No. 2021072142202 Hearing Officer–RES DEFAULT DECISION May 16, 2023 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documents as required by FINRA Rule 8210.

2019063686204 Rande Aaronson CRD 1758915 AWC vr (2023-1688084413111).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063686204 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rande Aaronson (Respondent) Former General Securities Principal CRD No. 1758915 Pursuant to FINRA Rule 9216, Respondent Rande Aaronson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Election Notice - 05/31/2023

Summary

The annual meeting of FINRA firms will take place on or about Wednesday, September 6, 2023, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 7, 2023. 

In Review: Looking Forward with FINRA and Board Chair Eric Noll

Each year, FINRA hosts its Annual Conference in Washington, D.C. packed full of panels with information on all the latest compliance trends and emerging regulatory issues. On this episode, we're taking you behind the scenes of this year's Annual Conference to listen in on a conversation between FINRA President and CEO Robert Cook and the Chair of the FINRA Board of Governors, Eric Noll.
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