Compliance Requirements
The investment sales process begins with Registered Representatives meeting the appropriate compliance requirements because the sale of investments is highly regulated to protect investors. Registered broker-dealers sell securities through their Registered Representatives. The activities of broker-dealers, such as ONESCO, are regulated primarily by the Financial Industry Regulatory Authority (FINRA), and by the individual states in which the broker-dealer does business.
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Ohio National is not affiliated with, nor does it endorse or sponsor, any particular prospecting, marketing or selling system.
