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The SEC first introduced plans for new rules in December 2021. That proposal would have imposed swing pricing requirements that critics said could make funds more costly and less attractive.
Grief comes with mixed emotions. Help a client work through both their financial issues and their emotional struggles, and you’ll have a client for life.
Commissioned by the U.S. House Committee on Appropriations, the study confirms views that mandatory arbitration agreements imposed by fiduciary-bound RIAs can unfairly limit clients' ability to seek legal remedies against wrongful actors.