Compass
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Regional Vice President of Sales The Retirement Plan Company
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Bates & Company, Inc.
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Loan & Distribution Specialist AimPoint Pension
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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AimPoint Pension
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SEC Proposes Best Interest Standard (PDF)
Steptoe & Johnson LLP [Guidance Overview] Apr. 27, 2018 24 pages. "The SEC's proposed best interest standard appears to be directed at the same goal as the 'impartial conduct standards' included ... with the adoption of the DOL Fiduciary Rule.... As part of the proposed rule package, the SEC published for comment a short-form customer or client relationship summary (Form CRS) brokers would be required to use in setting out the material facts of the relationship with their clients. Proposed Form CRS also contains a set of questions for customers to ask their brokers before agreeing to a recommendation." |
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