Broker Check

FAQ 6

“WHO” IS THE FINANCIAL ADVICE INDUSTRY?

TrendCalc defines the financial advice industry as anyone who regularly renders financial advice (whether direct or indirect) and those responsible for the oversight thereof.  This includes agencies such as FINRA and the SEC, who regulate the behavior and actions of representatives, financial advisors, stockbrokers, wealth advisors, stock exchanges and investment companies.  The financial advice industry also consists of firms that are engaged in financial and investment activities such as investing, lending, insurance, securities trading, securities issuance and so on.  It also includes the expert talking heads that appear on various media outlets, book authors on finance and investing, and even academics that publish papers regarding investment theories and financial matters. 

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