Investment Advisory

Fintech Regulation A(Chapter 1, Section 3 (g))

A person, facility or agency that provides assessments or recommendations to third parties regarding the advisability of making certain investments or transactions in financial instruments or investment projects.

Application Fee: $2,500.00

The application fee is reduced to $1,500.00 if applying in conjunction with other FINTECH Licenses.

Applicable Rules:

FinTech Licensing Application Forms:

Requirements:

(1) That it has the systems and procedures necessary to comply with the information and disclosure obligations established by Section 4 of this Chapter; and

(2) That it has the competence and knowledge required by Section 5 of this Chapter;

Information Obligations: