Another sad report of advisors allegedly using new clients' savings to pay their own expenses. If the SEC's claims in this one are true, it's especially grotesque.
If the SEC gives up its oversight of registered investment advisors, the regulator created by law students at the University of Mississippi is getting a bit of traction as a possible alternative to FINRA supervision.
The federal budget deal gives the SEC a lot more money than what House Republicans wanted, but a fair amount less than what Mary Schapiro insists the regulator needs.
Now that your investment advisor has completed its new Form ADV Part 2, it’s time to update your investment advisor’s written policies and procedures to reflect the regulatory changes related to the Form ADV Part 2.
Regulatory compliance and advertising review services.
You'll be emailed a discount coupon for $30 off the CFP® Ethics Class after signing up for A4A's $60 quarterly membership, featuring Fritz Meyer, Bob Keebler, and Craig Israelsen.