§ 628A.010 Definitions
§ 628A.020 Duties of financial planner
§ 628A.030 Liability of financial planner
§ 628A.040 Financial planner required to maintain insurance for liability or surety bond; exceptions

Terms Used In Nevada Revised Statutes > Chapter 628A - Financial Planners

  • Client: means a person who receives advice from a financial planner. See Nevada Revised Statutes 628A.010
  • Compensation: means a fee for services provided by a financial planner to a client or a commission or other remuneration derived by a financial planner from a person other than the client as the result of the purchase of a good or service by the client. See Nevada Revised Statutes 628A.010
  • county: includes Carson City. See Nevada Revised Statutes 0.033
  • Department: means the Department of Health and Human Services. See Nevada Revised Statutes 439.005
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Fiduciary: A trustee, executor, or administrator.
  • Financial planner: means a person who for compensation advises others upon the investment of money or upon provision for income to be needed in the future, or who holds himself or herself out as qualified to perform either of these functions, but does not include:

    (a) An attorney and counselor at law admitted by the Supreme Court of this State;

    (b) A certified public accountant who holds a certificate issued pursuant to NRS 628. See Nevada Revised Statutes 628A.010

  • Litigation: A case, controversy, or lawsuit. Participants (plaintiffs and defendants) in lawsuits are called litigants.
  • person: means a natural person, any form of business or social organization and any other nongovernmental legal entity including, but not limited to, a corporation, partnership, association, trust or unincorporated organization. See Nevada Revised Statutes 0.039
  • Restitution: The court-ordered payment of money by the defendant to the victim for damages caused by the criminal action.
  • Testimony: Evidence presented orally by witnesses during trials or before grand juries.
  • Trial: A hearing that takes place when the defendant pleads "not guilty" and witnesses are required to come to court to give evidence.