On April 12, the SEC announced its Share Class Selection Disclosure Initiative (SCSD Initiative). Under the SCSD Initiative, “the Enforcement Division will recommend standardized, favorable settlement terms to investment advisers that self-report that they failed to disclose conflicts of interest associated with the receipt of 12b-1 fees by the adviser, its affiliates, or its supervised… READ MORE
Have you been considering whether now is the right time to open a Registered Investment Advisor (“RIA”)? Navigating the complex regulatory requirements, making operational and technology decisions, and developing the financial analysis to know what the future holds may seem daunting. There are people willing to help you make an informed decision. We invite you… READ MORE
Recording Available: Looking Out for the Baby Boomers: Are You Protecting Your Firm and Your Client?
The U.S. population is aging – in January 2011, thousands of Baby Boomers began turning 65 every day. FINRA’s new rules to increase protections for vulnerable investors and to provide firms with guidelines to ensure these protections take effect February 5, 2018. Is your firm ready to handle the issues that come with having senior clients? On… READ MORE