Rules and Resources

Related Rules and Regulations:

  • Rule of Conduct 2210 prohibits brokerage firms and brokers registered with FINRA from referencing nonexistent or self-conferred degrees or credentials or referencing legitimate degrees or credentials in a misleading manner.
  • Also be aware that Financial Analyst, Financial Adviser (Advisor), Financial Consultant, Financial Planner, Investment Consultant or Wealth Manager are generic terms or job titles, and may be used by investment professionals who may not hold any specific credential.
  • View a map of states that have enacted regulations or legislation, or issued special notices with respect to the use of professional credentials by registered representatives and investment advisor representatives.

Additional Resources: