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adviser

Question tag: adviser 276 Questions

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How are students supervised in internships? Do they have a faculty adviser as part of the experience?

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May an investment adviser registered with the United States Securities and Exchange Commission (“SEC”) pay a third-party (non-employee) to solicit or refer new investment advisory clients?

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What are the basic regulatory requirements for a solicitor referral arrangement between an SEC registered investment adviser and a third-party (non-employee)?

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Can the third-party solicitor’s referral fee be paid from the investment advisory fee charged by the registered investment adviser?

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Does a third-party solicitor have to be registered as an investment adviser or investment adviser representative?

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Are there individuals that cannot serve as a solicitor on behalf of a registered investment adviser under SEC Rule 206(4)-3?

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Is a solicitor required to provide a client with a separate written solicitor disclosure when the registered investment adviser firm gives impersonal advisory services?

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Should there be a specific disclosure within the Form ADV if a registered investment adviser pays a referral fee to a third-party solicitor?

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What does a financial adviser do?

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Why choose an Independent Adviser?

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Why an Independent Financial Adviser?

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Can trusts deduct adviser fees?

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Will Clinton lose PA now that her chief adviser met with Colombian officials over trade?

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so, does the van need a timing belt replacement service, or did the service adviser make a mistake?

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Who can become an independent Shariah adviser for sukuk and what are the requirements?

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Has the top bush terrorism adviser admitted CIA docs didn prove torture worked?

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What is the role of a financial adviser?

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How long will the first meeting with a Business Adviser be?

adviser Business meeting

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What’s the best way to contact my adviser or schedule an appointment?

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What is belarc adviser?

adviser

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