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Hello, I am looking to hire an IAR that is not a US citizen. Anyone can take the series 65, so I know he's already completed that. Therefore, am I able to register him under my firm or are there requirements about his citizenship and residency?

Thanks this is helpful. So as long as I'm completely transparent about everything I am speaking about, then I should be ok. Thank you again!

Is there a case where I would be exposed to liability in the position I described due to this fiduciary obligation?

I have my own RIA. Is that a problem?

I have my own RIA.

So a company wants to hire me to live stream content that would involve education as well as trade recommendations. They have other people they have hired who perform the same role and have not had a series 65 so I know it is not required for the position. I am paid by the company for live...

Hey everyone! I currently have my series 65 and am considering working as a streamer for a service where there are fees members and I get paid from these fees. Does that require me to act in a fiduciary capacity? I would just like some more clarity on the legalities and liability if someone...

When you have an RIA, what are the guidelines around pooling several investors' funds together into one account? Is there additional compliance required or is it allowed as long as it is not declared as a mutual fund? Is the only requirement that the investors need to sign a form consenting to it?

So what is the difference between a hedge fund and a commodity pool then? Is it just who can invest? I understand that in order to invest in a hedge fund, you must be an accredited investor but you don't need to have this requirement to invest in a commodity pool. Since commodity pools can also...

If I start my own CPO, I understand that I can charge clients a performance fee regardless of their accreditation. Are you also able to trade equities within a CPO or is it restricted to just futures and futures derivatives?

I have been doing research on becoming a commodity trading advisor (CTA). I have been getting mixed information about who can be charged a performance fee. Some sources say that they must follow the Investment Advisor Act of 1940 and can only charge performance fees to qualified investors. Other...