If someone offers to invest money on your behalf, you must check whether they comply with the legal requirements. Management of all kinds of financial assets (including shares) is carried out only by licensed investment consultants working in a financial institution. The licensed investment ...
from Chapter 3 / Lesson 11 712 This lesson defines the purpose of the Financial Industry Regulation Authority (FINRA) and provides an overview of the FINRA Rules related to selling agreement disclosures and notification requirements. Related to this QuestionWhich...
Subject to the requirements set forth herein, Advisor hereby grants to the Trust a non-exclusive license during the term of this Agreement to use aLicensed Indexor Licensed Mxxx within the Territory, and in accordance with the terms of this Agreement, solely in connection with a Trust Offering...
considered a resident, or out-of-state, considered a nonresident. Regardless of the location of the insurance business, the broker or insurance company must be licensed to do business in a state. Licenses for businesses engaging in reinsurance may expire sooner than licenses...