Stock Recommendations

stock recommendations
Do you need a license to post a newsletter w/stock recommendations?

and charge for the service. Are any minimum credentials needed or can you just post a sign in front of your door (or Website).

Actually that’s incorrect…you do NOT need a license to publish a financial newsletter. You just can’t give specific stock recommendations for specific people – that would be considered personalized investment advice and would fall under SEC/FINRA regulations.

If you are simply publishing a “hypothetical” or “model” portfolio, then you’re fine. Ask any attorney, you’ll hear the same.


Stock Recommendations : Colgate, Hero MotoCorp

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