FINRA.org will undergo scheduled maintenance on October 18, 2026, 11 p.m. – October 19, 2026, 5 a.m., with a brief 5 min. outage during this window.
2024081522901 Vanguard Marketing Corp. CRD 7452 AWC ks.pdf
Investors rely on the accuracy of account statements and trade confirmations when making financial decisions and on the accuracy of Forms 1099 when calculating taxes owed. From approximately 2012 to 2023, a series of technical issues caused VMC to communicate inaccurate information to customers relating to the cost basis of their investments in account statements, trade confirmations, and in Forms 1099 in violation of FINRA Rules 2210, 4511 and 2010.
New Blog Details Unified Regulatory Operations
September 23, 2026
Features |
SBWA
Small Business Wealth Advisor (SBWA)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Dalton Education, a CeriFi company |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must be active financial services practitioners in advice, planning, investment management, insurance, accounting or related discipline and have at least one year of financial services experience in the past seven years. |
| Designation Training Requirements | Online, self-study materials |
| Designation Exam Type | Online, open-book exam for each training module |
| Continuing Education Requirements | None |
| Verification and Complaints | |
| Online Designation Resource | None |
| Investor Complaint Process | Submit complaints via online support form |
| Published List of Disciplined Designees | None |