Investment Advisers Act

  1. 5 Things to Ask Before Hiring a Financial Advisor

    Choosing a financial advisor isn't an easy task. Here's a list of the most important ...
  2. Investment Fees: How to Understand Them

    There can be a variety of fees levied when investing. Here's a look at what they ...
  3. Fee-Only Financial Advisors: What You Need To ...

    Are you considering hiring a fee-only financial advisor or one who is compensated ...
  4. Career Advice: Stockbroker Vs. Financial Advisor

    Read a detailed comparison between life as a stockbroker versus a financial advisor; ...
  5. Want To Impress Clients? Show Your Due Diligence

    Doing the learning legwork for the products and service providers you employ will ...
  6. Financial Advisors Are Feeling Cyber-insecure

    Financial advisors are increasingly fretting over cybersecurity and client data breaches. ...
  1. Under the “Brochure” rule of the Investment Advisers Act of 1940, which of these ...

    Under the "Brochure" rule of the Investment Advisers Act of 1940, which of these statements is true? a. The ADV Part II or ...
  2. Under the Investment Advisers Act of 1940, which of the following are exempt from ...

    I. EngineersII. AccountantsIII. TeachersIV. AttorneysA. I, II, III, IVB. II, III, IVC. I, IIID. II, IV Correct ...
Hot Definitions
  1. Return On Invested Capital - ROIC

    A calculation used to assess a company's efficiency at allocating the capital under its control to profitable investments. ...
  2. Law Of Demand

    A microeconomic law that states that, all other factors being equal, as the price of a good or service increases, consumer ...
  3. Cost Of Debt

    The effective rate that a company pays on its current debt. This can be measured in either before- or after-tax returns; ...
  4. Yield Curve

    A line that plots the interest rates, at a set point in time, of bonds having equal credit quality, but differing maturity ...
  5. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will ...
  6. Keynesian Economics

    An economic theory of total spending in the economy and its effects on output and inflation. Keynesian economics was developed ...
Trading Center