Physical space will be reduced, office layouts will be adjusted, and shifts of employees coming in and out of the office will be instituted.
The SEC chairman also introduced a new website for clients to assist them in reading their Form CRS, and said advisors should focus on ensuring rollover recommendations are sound.
Jun 16, 2020
Ever wonder why so many choose to run their own business?
The finalists for the 2020 “Wealthies” include 155 companies across 73 categories to be recognized this year at a live, digital awards ceremony.
The state securities commissioners are making a mistake mandating state-registered advisors adhere to the SEC's June 30 deadline to complete the form, according to securities attorney Max Schatzow.
More than eight in 10 advisors (81%) believe clients with a financial plan had less discomfort and anxiety during the market volatility, according to an eMoney survey.
The SEC charged Nashville advisor Frederick Stow for defrauding two seniors, one a World War II veteran.