Defined Contributions Compliance Consultant Loren D. Stark Company (LDSCO)
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Greenline Wealth Management
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Pollard & Associates
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Retirement Planners and Administrators (RPA)
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New York City District Council of Carpenters Benefit Funds
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Defined Contribution Account Manager Nova 401(k) Associates
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Great Lakes Pension Associates, Inc.
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Senior Specialist 401k Recordkeeping T Bank N.A.
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TPA Retirement Plan Consultant EPIC RPS (TPA/DPS)
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Fringe Benefit Group
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Defined Benefit Consultant/Enrolled Actuary Pension Plan Specialists, PC
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Retirement Solutions Specialists
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Recommendations of Investor-as-Purchaser Subcommittee to SEC on Broker-Dealer Fiduciary Duty (PDF)
U.S. Securities and Exchange Commission [SEC] [Opinion] Sept. 29, 2013 "[P]ersonalized investment advice to retail customers should be governed by a fiduciary duty, regardless of whether that advice is provided by an investment adviser or a broker-dealer.... [T]he fiduciary duty for investment advice should include, first and foremost, an enforceable, principles-based obligation to act in the best interest of the customer. In approaching this issue, the SEC's goal should be to eliminate the regulatory gap that allows broker-dealers to offer investment advice without being subject to the same fiduciary duty as other investment advisers but not to eliminate the ability of broker-dealers to offer transaction-specific advice compensated through transaction-based payments." |
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