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Performance Advertising Guidelines For Investment Advisers Under the SEC’s New Marketing Rule

Nerd's Eye View

But for many years, advisers looking for guidance from the Securities and Exchange Commission (SEC) regarding what kind of performance advertising was permissible had to rely on fairly general guidelines and SEC staff statements in the form of “no-action” letters.

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Form ADV Part 1: Common Missteps And Best Practices For RIAs

Nerd's Eye View

For example, in certain contexts, the terms “you” and “your” can refer solely to the advisory firm itself, while in others, the terms can encompass any of the firm’s related persons (e.g., directors and officers, partners, and employees of the firm).

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Direct plans of mutual funds offer much higher returns than regular plans, more than the difference in their expense ratio

Truemind Capital

Regular plans are sold by distributors/agents who receive commissions of up to 1.75%/annum (on a monthly payout basis), till your investments are outstanding. As per the SEBI regulations, RIAs can only recommend zero-commission investment options wherever available (mutual funds, PMS & AIFs). Check the table below for reference.

Planning 105
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7 factors that affect reading ease

Investment Writing

The lower ranking on the fog index, the easier the reading… The seven factors include: Average sentence length in words Percentage of simple sentences Percentage of strong verb forms Proportion of familiar words Proportion of abstract words Percentage of personal references Percentage of long words Why do the other factors matter?

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Praj Industries – Market Leader with a share of nearly 10% of Global Ethanol Plant

Trade Brains

With over 1000s of customer references across more than 100 countries on six continents, Praj has a well established global presence. Praj has commissioned India’s first commercial 2G ethanol plant with IOCL and is working on more such projects with BPCL and HPCL. The company has 700 crores as cash in hand till 31st of March 2024.

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11 Best Online Brokerage Accounts: For Beginners To Experienced Investors

Good Financial Cents

Fees $0 for stocks or ETFs; no commissions or contract fees on options. $1/mo. 0 for stocks, options, and ETFs; over 4,000 commission-free mutual funds. $0 0 for stocks, options, and ETFs; more than 3,000 commission-free mutual funds. . $0 0 for stocks, options, and ETFs; more than 3,000 commission-free mutual funds.

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How to sniff out a lying grifter in a Form ADV

Sara Grillo

Any financial advisor who is registered as an advisor with a regulator has to fill out this form for initial approval by either a state or a Federal (the United States Securities and Exchange Commission) regulator. If the person is an insurance agent or solely a broker selling commission-based products, they will not have to file a Form ADV.