NetFind Web Search

Search results

  1. Results From The WOW.Com Content Network
  2. Understanding FINRA Rule 2111: Suitability - AOL

    www.aol.com/understanding-finra-rule-2111...

    Financial professionals who recommend clients buy a security or financial product are held to ethical standards that can be enforced by law. One such standard is known as the suitability rule ...

  3. Registered investment adviser - Wikipedia

    en.wikipedia.org/wiki/Registered_investment_adviser

    Registered investment adviser. A registered investment adviser ( RIA) is a firm that is an investment adviser in the United States, registered as such with the Securities and Exchange Commission (SEC) or a state's securities agency. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely ...

  4. Financial Industry Regulatory Authority - Wikipedia

    en.wikipedia.org/wiki/Financial_Industry...

    The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly. As of October 2023, FINRA oversaw 3,394 brokerage firms, 149,887 branch offices ...

  5. What Are Variable Annuities and Who Can Sell Them? - AOL

    www.aol.com/finance/variable-annuities-sell-them...

    FINRA explains that the rule “covers the suitability of a deferred annuity exchange for a particular customer, considering, among other factors, whether the customer would incur a surrender ...

  6. 16 Divisions - Wikipedia

    en.wikipedia.org/wiki/16_Divisions

    16 Divisions. The 16 Divisions of construction, as defined by the Construction Specifications Institute (CSI)'s MasterFormat, is the most widely used standard for organizing specifications and other written information for commercial and institutional building projects in the U.S. and Canada. In 2004, MasterFormat was updated and expanded to 50 ...

  7. 50 Divisions - Wikipedia

    en.wikipedia.org/wiki/50_Divisions

    "50 Divisions" is the most widely used standard for organizing specifications and other written information for commercial and institutional building projects in the United States and Canada. [5] Standardizing the presentation of such information improves communication among all parties.

  8. Fiduciary Duty vs. Suitability Standards - AOL

    www.aol.com/finance/fiduciary-duty-vs...

    For premium support please call: 800-290-4726 more ways to reach us

  9. Certified Financial Planner Board of Standards - Wikipedia

    en.wikipedia.org/wiki/Certified_Financial...

    Certified Financial Planner Board of Standards, Inc., is an American 501(c)(6) nonprofit organization that sets and upholds standards for financial planning. It administers Certified Financial Planner certification - which is widely recognized by the public, advisors, and firms as the standard for financial planners - so that the public has access to the benefits of competent and ethical ...