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Who regulates advisors and stockbrokers?

Who regulates advisors and stockbrokers?

Brokers must register with FINRA and with the states in which they do business or have clients. Financial planners, money managers and other advisers must be licensed as “investment advisors” by their states, or, if they have $100,000,000 or more under management, with the SEC. This has now been extended to cover hedge funds.