FINRA: Regulates brokerage firms and their representatives. SEC (Securities and Exchange Commission): Federal regulator for securities markets. Investment Company Act of 1940: Governs mutual funds and investment companies.
Know Your Customer (KYC): Assess clients’ financial status and risk tolerance. Risk Tolerance Levels: Conservative, moderate,series 6 dump sheet aggressive. Ethical Considerations: No misleading information, proper disclosure of fees.
Communication Rules: Fair and balanced information. Prohibited Practices: No misleading claims, guarantees, or manipulation.
Capital Gains Tax: Short-term vs. long-term capital gains. Dividends: Qualified vs. non-qualified. Tax-Advantaged Accounts: IRAs, 401(k)s.
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