Compass
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Regional Vice President of Sales The Retirement Plan Company
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AimPoint Pension
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Loan & Distribution Specialist AimPoint Pension
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Bates & Company, Inc.
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Are New Suitability Rules Bridging the Gap Between Suitability and Fiduciary? (PDF)
fi360 Blog July 9, 2012
"Today marks the first day under FINRA's updated suitability rule. The update is particularly notable for its timing, while we are waiting for a uniform fiduciary standard for broker-dealers and investment advisors and a potential self-regulator for investment advisors, and because of the way the rule seemingly holds broker recommendations to standards more in line with fiduciary standards."
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