Nerd's Eye View

JULY 17, 2023

Accordingly, in 2020 the North American Securities Administrators Association (NASAA) introduced a Model Rule for the first-ever CE obligation for Investment Adviser Representatives (IARs) to maintain their Series 65 license after initially obtaining it.

Ethics 245

Ethics Financial Advice CFP Financial Advisor 245

Abnormal Returns

FEBRUARY 26, 2023

tker.co) A link to the 2022 Berkshire Hathaway ($BRK.A) Sentencing Commission show judges rejected more than 80% of compassionate release requests filed from October 2019 through September 2022. npr.org) Occupational licensing is out of control. mailchi.mp) On the ethics of holding down two full-time jobs. slate.com)

Ethics 243

Ethics License Financial Advising Startup 243

Trade Brains

SEPTEMBER 28, 2024

Factors contributing to this growth include increasing disposable incomes, changing consumer preferences, and the popularity of unique, ethically sourced gemstones. Furthermore, the adoption of blockchain technology enhances supply chain transparency, addresses ethical sourcing concerns, and fosters consumer trust in the jewellery industry.

Retail 97

Retail Planning Government Ethics 97

Sara Grillo

JUNE 24, 2024

Money market rates crashed to zero (0%) in 2022 due to Covid-19. There is no securities license required to sell it. Variable universal life (VUL=mutual funds) were/are illustrated using an 8%-12% CD-like ROR eternally. That is a mathematical impossibility.

Insurance 59

Insurance Math Financial Advice Compliance 59

Sara Grillo

JUNE 2, 2022

Here is the Barron’s 2022 Top Advisor Rankings by State. What about ethics? Ethical actions that financial advisors take. If you are a financial advisor seeking guidance on how to market yourself ethically and in a way that advocates for the consumer, here are some of the ways I can help directly…. Impact on the client?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

Sara Grillo

MARCH 13, 2023

But in 2022, stocks and bonds went down together and displayed high correlation, suggesting a failure of modern portfolio theory. Geraci is puzzled by the fact that in 2022, every single asset class other than commodities went down, and gold was only down by 2% yet there were not major inflows.

Financial Advisor 59

Financial Advisor Assets Management License 59

Zoe Financial

DECEMBER 20, 2022

Published December 20th, 2022 . Don’t be surprised if, in the near future, you can “drive” a car without a driver’s license. There are various risks and ethical considerations that come along with artificial intelligence. From Fiction To Reality: AI & The Financial Industry. Reading Time: 3 minutes. year over year.

Healthcare 40

Healthcare Financial Advisor Risk Tolerance Accounting 40