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As the number of financial advisors continues to decrease, firms must think creatively to breathe new life and excitement into the financial services profession.
The network, founded and led by Michael Kitces and Alan Moore, filed suit in New York's Southern District, claiming the SEC's Reg BI would give an unfair competitive advantage to brokers over registered investment advisors.
At FSI's 2019 Forum, SEC Chief Counsel of the Division of Trading and Markets Emily Westerberg Russell addressed how broker/dealers should think about conflict-of-interest disclosures, and whether the SEC would preempt more stringent state rules...
Attorneys general from seven states, including New York and California, along with the District of Columbia, argue that the SEC's rule doesn't protect investors as mandated under Dodd-Frank.