Understand the importance of AMFI and NISM certification for mutual fund distributors, exam structure, compliance rules, and ...

The Securities and Exchange Commission will soon begin a national exam sweep of alternative mutual funds, with 15 to 20 fund complexes to be the targets of the first exams that will likely begin in ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Mutual fund or financial product distributors are registered professionals who help investors choose and invest in suitable ...