Wall Street brokerages, investment advisory firms fail to tell investors clearly how they're paid financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.
MML Investors Services settles SEC case for $2.1M financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.
July 28, 2021 4:50 PM
From Moisand’s perspective, however, a new administration means change, which presents innate challenges for CFPs and their clients.
“I ve been doing this for 30 years and the very first thing [advisors] are concerned about is how things are going to affect their clients,” he says. “I think the No. 1 concern whenever Congress and the lawmakers put [out] new things is, how do we adapt to those new circumstances. President Biden ran on a platform, and like everybody else before him, he ll get some of this stuff through . and it matters from client to client what particularly comes to fruition.”
Wealth managers praise SEC's Reg BI implementation financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.