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State-regulated advisers jockey to add testimonials to marketing

Smaller state advisers want to be able to post client testimonials, quote them in ads when bigger SEC-registered firms get the greenlight.

United statesChris russellColton ethertonMelanie senter lubinNoah schwartzTyler smithAnn keitnerTempus pecuniaExchange commissionOffice planningAmerican securities administrators associationBlueprint financial strategiesElliott weirSecurities commissioner melanie senter lubinAdvisor assistBen lies

SEC

SEC
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United statesMelanie senter lubinGary genslerCarrie tolstedtExchange commissionConsumer federation of americaInvestment company instituteSecurities commissioner melanie senter lubinConsumer federationஒன்றுபட்டது மாநிலங்களில்மெலனி அனுப்புநர் லூபின்பரிமாற்றம் தரகுநுகர்வோர் கூட்டமைப்பு ஆஃப் அமெரிக்காமுதலீடு நிறுவனம் நிறுவனம்பத்திரங்கள் ஆணையர் மெலனி அனுப்புநர் லூபின்நுகர்வோர் கூட்டமைப்பு

New NASAA leader calls for expungement reform

New NASAA leader calls for expungement reform
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United statesWest virginiaLisaa hopkinsMelanie senter lubinExchange commissionFinancial industry regulatory authority incAmerican securities associationPublic investors advocate bar associationSecurities commissioner melanie senter lubinNorth american securities associationFinancial industry regulatory authorityஒன்றுபட்டது மாநிலங்களில்மேற்கு வர்ஜீனியாலிசா ஹாப்கின்ஸ்மெலனி அனுப்புநர் லூபின்பரிமாற்றம் தரகு

Regulators: Trading app nudges could be investment advice, trigger Reg BI

Regulators: Trading app nudges could be investment advice, trigger Reg BI
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United statesRobertw cookMelanie senter lubinAllison herren leeExchange commissionFinancial industry regulatory authority incAmerican securities administrators associationRegulation best interestSecurities commissioner melanie senter lubinFinancial industry regulatory authorityஒன்றுபட்டது மாநிலங்களில்மெலனி அனுப்புநர் லூபின்அல்லிசன் ஹெரன் லீபரிமாற்றம் தரகுநிதி தொழில் ஒழுங்குமுறை அதிகாரம் இன்க்ஒழுங்குமுறை சிறந்தது ஆர்வம்

State regulators are asking questions about subscription fees

State regulators probe whether investors get money’s worth from subscription fees State regulators have been expressing concern that new fee structures sometimes don’t align with services provided. The issue will continue to be a priority this year. February 23, 2021 3 MINS As the ways that investment advisers charge for their services proliferate, state securities regulators are continuing to probe whether investors are getting enough bang for their advice buck. Over the last several years, so-called subscription fees such as charging a client a monthly retainer fee as well as hourly fees have become increasingly popular as an alternative to the traditional fee based on assets under management.

United statesBarbara roperKevin kellerMelanie senter lubinKitces researchXy planning networkInvestment adviser regulatory policy review committeeConsumer federation of americaAmerican securities administrators associationCertified financial planning board of standards incFinancial planning coalitionSecurities commissioner melanie senter lubinConsumer federationMichael kitesBuckingham wealthCertified financial planning board