Glossary

Annuity
Annuity Switching
CRD - Central Registration Depository
Financial Industry Regulatory Authority
FINRA
FINRA Rule 8210
IARD
Insider trading
Investment Adviser's Act of 1940
Material Misrepresentation or Omission
Parking
Penny Stock
Ponzi Scheme
Reg D
Restricted Stock
SEC
SEC Rule 10b-5
Securities Exchange Commission
Securities Fraud
SRO - Self Regulatory Authority
Wells Notice

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