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State Investment Adviser Representative Examination and Waiver Requirements
Financial professionals as providers of advice and counsel, instead of or in addition to providing financial products, face multiple layers of regulation. For example, firms and individuals who provide investment advice or manage security portfolios for a fee must register with appropriate federal and state regulatory agencies. This article summarizes the examination requirements and possible examination waivers required at the state level.
Reference Information:
Garrett, K. C., & Grable, J. E. State Investment Adviser Representative Examination and Waiver Requirements. Journal of Personal Finance, volume 6, issue 1 (2007).
This entry was posted on Tuesday, October 23rd, 2007. It is filed under Family Studies and Human Services.