Series 99: Investment Adviser (IA)

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term Investment Adviser (IA)...

From the USA: “any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or the advisability of investing in, purchasing, or selling securities, or who, for compensation and as a part of a regular business, issues or promulgates analyses or reports concerning securities.”


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