Securities Dealer о Derivatives Dealer • Advisor о Securities Investment Advisors о Derivatives Advisors • Securities Underwriter • Limited BDU • Bond Dealer
Professionals > Financial Advisor Regulations SHARE : Detail Content Financial Advisors A Financial Advisor (FA) has a crucial role in selecting and screening qualities of companies to be listed in the
. The SEC will make an appointment for an on-site inspection of the work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website
offer for sale of debt securities (Issue basis) Certificate of performance of duties by securities companies that sell debt securities/ financial advisors (MTN) Form 69-SUPPLEMENT Debentures