Broker-Dealers vs RIAs: What's the Difference?
Broker-Dealers vs RIAs: What's the Difference?
There are many types of independent financial planners, including registered investment advisors (RIAs) and broker-dealers. Learn which one is better.
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What Is a Broker-Dealer? Two Types, What They Do, and Regulation
What Is a Broker-Dealer? Two Types, What They Do, and Regulation
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Dealers: Definition in Trading, Meaning and Comparison to Brokers
Dealers: Definition in Trading, Meaning and Comparison to Brokers
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FCA to investigate car finance for not paying out compensation to customers – Car Dealer Magazine
FCA to investigate car finance for not paying out compensation to customers – Car Dealer Magazine
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Dealer Market: Definition, Example, Vs. Broker or Auction Market
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Best stock brokers for Europeans in 2025
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32. Brad is a registered representative with a broker-dealer and is licensed to sell fixed and variable annuities, as well as mutual funds. How can Brad comply with the best interest requirements under the NAIC's annuity model regulation? (Search Chapter 6) a. by complying with applicable SEC and FINRA rules pertaining to best interest obligations and supervision of annuity sales b. by refraining from any future sale of fixed annuity products c. by obtaining a limited lines insurance
32. Brad is a registered representative with a broker-dealer and is licensed to sell fixed and variable annuities, as well as mutual funds. How can Brad comply with the best interest requirements under the NAIC's annuity model regulation? (Search Chapter 6) a. by complying with applicable SEC and FINRA rules pertaining to best interest obligations and supervision of annuity sales b. by refraining from any future sale of fixed annuity products c. by obtaining a limited lines insurance
numerade.com
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Regulation W: Definition in Banking and When It Applies
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