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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.
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.
Cetera Financial Group (commonly referred to as Cetera) is an independent wealth hub and financial services provider comprising, among other companies, one of the largest families of independent registered investment advisers and broker-dealers in the United States.
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 ...
🔍 Expert tip: ETFs and mutual funds have their own fees, typically called expense ratios that generally range from 0.01% to 0.40%. However, most robo-advisors use funds with low expense ratios.
A multi-family office (MFO) is an independent organization that supports multiple families to manage their entire wealth.Multi-family offices typically provide a variety of services including tax and estate planning, risk management, objective financial counsel, trusteeship, lifestyle management, coordination of professionals, investment advice, and philanthropic foundation management.
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Form S-1 is an SEC filing used by companies planning on going public to register their securities with the U.S. Securities and Exchange Commission (SEC) as the "registration statement by the Securities Act of 1933". The S-1 contains the basic business and financial information on an issuer with respect to a specific securities offering.