Regional Vice President of Sales The Retirement Plan Company
|
Bates & Company, Inc.
|
AimPoint Pension
|
Loan & Distribution Specialist AimPoint Pension
|
Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
|
Compass
|
“BenefitsLink continues to be the most valuable resource we have at the firm.”
-- An attorney subscriber
NAPA Comment Letter to SEC on Duties of Brokers, Dealers and Investment Advisors (PDF)
National Association of Plan Advisors (NAPA) [Opinion] July 5, 2013 "The Commission should not implement the Staff's recommended 'uniform fiduciary standard' for broker-dealers and investment advisers because such a standard would effectively result in a non-uniform 'uniform fiduciary standard' leading to significantly increased confusion for retail customers when selecting an Investment Professional.... The Commission should instead require Investment Professionals to provide retail customers with clear and concise pre-engagement disclosures designed to assist retail customers in the selection of Investment Professionals.... The Commission should take the lead to ensure that consistent disclosures are provided by Investment Professionals to protect retail customers' access to investment advice, regardless of the method by which their investment accounts are taxed." |
Please click here to report this link if it is broken (for example, if you see a "404 File Not Found" error message after you click on the linked news item's title). |
An important word about authorship: BenefitsLink® created this link to the news item, but we are not the news item's author (unless expressly shown above). |