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The NFL Players Association's Financial Advisors Registration Program is a program that will provide NFL players with access to a list of financial advisors who are deemed qualified by the NFLPA. [2] The program was created in 2002 after a series of many investment schemes targeted at professional athletes.
In the United States, the Series 7 exam, also known as the General Securities Representative Exam (GSRE), is a test for entry-level registered representatives, that demonstrates competency to buy or sell security products such as corporate securities, municipal securities, options, direct participation programs, investment company products and variable contracts.
In May 2016, Cetera completed a transformation into an independent, privately held organization under its parent company, Aretec Group, Inc. [20] [21] Through this restructuring process, a new board of directors [22] was established. In May 2017, Cetera announced the launch of its advisory platform, My Advice Architect.
FINRA's BrokerCheck tool can tell you the following about a firm or advisor: Registration status with the U.S. Securities and Exchange Commission — required to sell securities or offer ...
An IA must adhere to a fiduciary standard of care laid out in the US Investment Advisers Act of 1940.This standard requires IAs to act and serve a client's best interests with the intent to eliminate, or at least to expose, all potential conflicts of interest which might incline an investment adviser—consciously or unconsciously—to render advice which was not in the best interest of the IA ...
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The Uniform Investment Adviser Law Examinations are assembled by FINRA using a process called "on the fly." Each question in the pool has two parameters that are used as part of the assembly, a difficulty parameter and a content parameter.
The Investment Advisers Act of 1940, codified at 15 U.S.C. § 80b-1 through 15 U.S.C. § 80b-21, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law.
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