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  2. Securities and Exchange Commission (Philippines) - Wikipedia

    en.wikipedia.org/wiki/Securities_and_Exchange...

    [4] The SEC is among the few securities commissions in the world that simultaneously acts as a corporate registrar and a securities regulator. Such a dual role allows the Commission a comprehensive view of the business and investment landscape, and for a more coordinated and enabling regulatory environment.

  3. Registered investment adviser - Wikipedia

    en.wikipedia.org/wiki/Registered_investment_adviser

    Registered investment adviser firms receive compensation in the form of fees for providing financial advice and investment management. They are required to act as a fiduciary. This is very different from broker-dealers and their representatives, who provide recommendations for a commission. Broker-dealers and their representatives are not ...

  4. Financial Industry Regulatory Authority - Wikipedia

    en.wikipedia.org/wiki/Financial_Industry...

    The NASD was founded on September 3, 1936 as Investment Bankers Conference, Inc. [9] and, on August 7, 1939, was registered under the name National Association of Securities Dealers, Inc. [10] as a national securities association with the SEC under authority granted by the 1938 Maloney Act amendments to the Securities Exchange Act of 1934, [11] which allowed it to supervise the conduct of its ...

  5. Net capital rule - Wikipedia

    en.wikipedia.org/wiki/Net_capital_rule

    The 2009 Sirri Speech suggests this is the likely source for the widely stated proposition that broker-dealers were subject to a 12 to 1 leverage limit. For broker-dealers using the Alternative Method, such as all the CSE Brokers, there was an "early warning" requirement if their "aggregate debit items" became more than 20 times the amount of ...

  6. 7 best investment platforms for Dec. 2024: Low-cost options ...

    www.aol.com/finance/best-investment-platforms...

    SoFi was founded in 2011 as a student loan refinancing company. In 2019, SoFi — , short for Social Finance — expanded into investment services, offering a user-friendly platform to new investors.

  7. Best online brokers of 2024: Top places to invest your money

    www.aol.com/finance/best-online-brokers-2024-top...

    One of the best features is the broker’s integration with Bank of America, so you can move money quickly from bank to broker, and it all comes at a great price: free! Best for: Research, Bank of ...

  8. Philippine Stock Exchange - Wikipedia

    en.wikipedia.org/wiki/Philippine_Stock_Exchange

    The Ground Level of the New Headquarters of the Philippine Stock Exchange in Bonifacio Global City. The Old Headquarters and Trading floor of the PSEi and the Makati Stock Exchange in Ayala Tower One in the Makati Central Business District. Philippine Stock Exchange Center is located on Exchange Road, Ortigas Center, Pasig. [7]

  9. Investment Advisers Act of 1940 - Wikipedia

    en.wikipedia.org/wiki/Investment_Advisers_Act_of...

    Under the Act, investment advisers must register using Form ADV accompanied by a relatively modest fee. Form ADV asks for such information as educational background, experience, exact type of business engaged in, assets, information on clients, history of a legal and/or criminal nature, and type of investment advice to be offered.