Laws & RegulationsPregunta 103 de 110
Which use of a professional designation or registration status by an adviser would be considered misleading?
a.Accurately stating the adviser is registered with the state
b.Truthfully describing the adviser's years of experience
c.Listing genuine professional credentials the adviser holds
d.Implying that registration means the Administrator has approved the adviser's qualifications or endorsed the firm
Explicación
It is misleading, and prohibited, for an adviser to imply that being registered means a regulator has approved or endorsed its abilities or the merits of its services. Registration signifies compliance with legal requirements, not government endorsement. Accurately stating registration status and genuine credentials, however, is permissible.
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