Registration information for CPA financial planners
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Registration information for CPA financial planners

2 years ago · 7 min read

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CPA financial planners who offer investment management services or who offer investment advice that meets the definition of an investment adviser according to the 40 Act need to register with their state or federal regulator. Understanding regulation requirements can be complex, so here are a few guidelines to help you.

Fiduciary Duty

The Advisers Act imposes a fiduciary duty on investment advisers. An investment adviser has an affirmative duty of utmost good faith to act solely in the best interests

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