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Investment adviser representatives must be registered with the SEC (if firm assets > $110M) or state (if assets < $110M) under the Investment Advisers Act of 1940 (15 U.S.C. §80a-1 et seq.). Individual registered representatives must pass the Series 65 exam. FinanceStackHub does NOT register individual advisors and does NOT substitute for SEC/state registration. Use of FinanceStackHub tools does NOT satisfy registration requirements. Advisors using FinanceStackHub must maintain separate SEC/state registration and Form ADV filings.
Broker-dealers (individuals and firms) must be registered with FINRA under the Securities Exchange Act. FINRA requires broker-dealers to follow suitability rules (FINRA Rule 2111) and, for certain securities, best execution requirements. FinanceStackHub tools do NOT ensure FINRA compliance. Broker-dealers using FinanceStackHub must maintain FINRA registration, conduct their own compliance testing, and maintain compliance documentation.
Investment advisers are fiduciaries required to act in clients' best interests under the Fiduciary Rule (17 CFR §206). Fiduciaries must disclose conflicts of interest, obtain client consent, and act with care and loyalty. FinanceStackHub is NOT a fiduciary and does NOT establish fiduciary duty to clients. Investment advisers using FinanceStackHub remain responsible for all fiduciary obligations. FinanceStackHub tools do NOT substitute for advisor fiduciary analysis.
FINRA Rule 2111 requires recommendations to be suitable for a customer's financial situation, investment objectives, and risk tolerance. The Dodd-Frank Fiduciary Rule extends best interest obligations to certain transactions. FinanceStackHub tools may assist analysis but do NOT determine suitability or satisfy best interest determinations. Advisors remain responsible for independent suitability analysis for all recommendations.