The news comes nearly a year after the Massachusetts Commonwealth Secretary filed a complaint against Stephen Querzoli, who was with the Philadelphia-based firm until 2018.
The SEC's work over the past 10 months with broker/dealers, advisors and regulatory agencies has prepared everyone for compliance by the end of June, Chairman Jay Clayton said today.
The programs will link top advisors and heads of firms with former RIA CEOs, who will offer guidance on how to make decisions in the midst of a volatile market.
The Financial Planning Association said Daniel Moisand has held the position since March 13 and will oversee Journal staff and create original content for the publication in his new role.
Recruiting has slowed down at the IBD, due to social distancing and remote working. But the firm has stepped up its virtual capabilities to continue attracting new advisors.
It was essential for state regulators to offer guidance for advisors working from home who may not be registered in their home state, according to the New Jersey Board of Securities bureau chief.
The advocacy group for broker/dealers says firms are finding it difficult to upgrade their compliance capability due to the tumult caused by the spread of COVID-19 and are asking for 'temporary regulatory relief.'
The new resource from PCS Retirement offers advisors ways to directly message plan participants or to send additional documents and resources through the portal.
