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Investment Professionals

Unions and Associations

Investment professionals do not have unions to join, but there are some national associations that are available. The Association for Financial Professionals is one global association. It offers membership, certification, and continuing education opportunities, and publishes several monthly newsletters. The CFA Institute offers certification and continuing education. The Financial Industry Regulatory Authority is a not-for-profit organization with government authority to oversee broker-dealers in the United States. The Securities Industry and Financial Markets Association is a membership organization for financial firms, and it provides continuing education opportunities to financial industry professionals.

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