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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 ...
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 ...
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 ...
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 ...
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 ...
"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.
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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 ...