Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

Professional Designations Rules and Resources

Related Rules and Regulations:

  • Rule of Conduct 2210, which 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.
  • Regulatory Notice 11-52, FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
  • 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.
  • Many states have enacted regulations or legislation, or issued special notices, regarding the use of professional credentials by registered investment professionals. Contact your state securities regulator for more information.

Additional Resources: