FINRA stores important information on broker-dealers in their central database, which you can access using BrokerCheck. And this shortfall is allowing more rogue brokers and planners to evade proper supervision. This means that state securities authorities will have primary regulatory authority over a substantial number of investment advisers that previously were subject to primary regulation by the SEC. Share Financial advisors are monitored at both the state and federal levels by several different agencies. Have you ever been disciplined by any government regulator for unethical or improper conduct or been sued by a client who was not happy with the work you did? In most cases, these people must be licensed or registered with your state securities regulator to do business with you. To find out about an investment adviser and whether it is properly registered, read its registration form, called "Form ADV.
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Series 7 Exam Session 8 - Broker-Dealers
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Four state and federal agenda just to expand their bent of examinations in order to keep pace with the most in the intention..