When Must An Investment Advisor Register With The SEC?

When Must An Investment Advisor Register With The SEC? The SEC requires an investment adviser to register with the SEC if it has assets under management of at least $100 million or the investment adviser provides investment advice to an investment company registered under the Investment Company Act of 1940 (SEC Rule 203A-1). Do investment

How Long Does It Take To Get RG146?

How Long Does It Take To Get RG146? Individuals have a total of: 12 weeks to complete the learning and assessment requirements for the Tier 1 Financial Planning – General Advice subject, from their initial activate date. What is a RG146 qualification? RG146 stands for Regulatory Guide 146, and is a mandatory licensing regulation required

Is Written Guidance From The Secretary Of Defense To The Chairman Of The Joint Chiefs Of Staff?

Is Written Guidance From The Secretary Of Defense To The Chairman Of The Joint Chiefs Of Staff? The GEF is classified (Secret) written guidance from the Secretary of Defense to the Chairman for the preparation and review of contingency plans for specific missions. Is a joint force that is constituted and so designated by the

What Are Presidential Advisors Called?

What Are Presidential Advisors Called? The Cabinet – The President’s Official Advisors. Why are the president’s advisors called a cabinet? The term “cabinet” comes from the Italian word “cabinetto,” meaning “a small, private room.” A good place to discuss important business without being interrupted. The first use of the term is attributed to James Madison,

What Is A State Registered Investment Advisor?

What Is A State Registered Investment Advisor? Have less than $100,000,000 in assets under management. State investment adviser registrants also include investment advisers offering services that solely include financial planning or soliciting clients on behalf of other advisers. Do I need to register as an investment adviser? While there are some exceptions, in general, investment

What Is The Difference Between Adviser And Advisor?

What Is The Difference Between Adviser And Advisor? There is no difference between adviser and advisor besides spelling, and both are acceptable for someone who gives advice. Some people, though, feel that advisor is more formal. Advisor tends to be used for people having an official position—for example, an advisor to the president. Is adviser