Nerd's Eye View
JULY 17, 2023
Accordingly, in 2020 the North American Securities Administrators Association (NASAA) introduced a Model Rule for the first-ever CE obligation for Investment Adviser Representatives (IARs) to maintain their Series 65 license after initially obtaining it.
Nerd's Eye View
DECEMBER 19, 2022
This summer, the Financial Planning Association (FPA) announced a new multi-year advocacy goal to pursue legal recognition for the title of "Financial Planner", as a means for bona fide financial planners to distinguish themselves and their services from others (who may use the title but don't actually do financial planning), to help consumers understand (..)
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Sara Grillo
JUNE 2, 2022
What about ethics? What about ethics, client focus, transparency of fees and business practices, professional licenses and credentials, absence of conflicts of interest, objectivity, promotion of fairness to client, amount of attention paid to the end clients, responsiveness to client needs. 6 October, 2021). Pavia, Jim.
Tucker Advisors
AUGUST 9, 2021
When advisors are not fiduciaries, they follow what is called the “suitability” requirement, which is basically an ethical call to follow the same prioritization of interests. 16, 2021, “provides RIA firms with two options as relates to IRA rollovers: Provide only general investment education regarding rollovers. Sources: 1.
Sara Grillo
MARCH 13, 2023
According to Bak, assets don’t care about the ethics of their investors. In October of 2021, ProShares was successful in bringing the first futures-based ETFs to market. He holds Series 7 and 65 Securities Licenses in addition to a Life & Health Insurance License.
Good Financial Cents
APRIL 10, 2023
In fact, a 2021 Global Wealth Report from Credit Suisse showed that there were 21,951,000 millionaires in the United States that year. million in net worth that was required to be considered wealthy in 2021, which just goes to show how relative this term really is. million dollars or more in 2022. That’s down from the $2.6
Nerd's Eye View
JULY 22, 2022
Though in recognizing that the path toward regulation is likely to be a long one, as a starting point, the FPA has simply pledged to begin exploring how to pursue Title Protection, what kind of licensing or regulation it might entail, and whether it should be done at the state or Federal level.
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