Loan & Distribution Specialist AimPoint Pension
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AimPoint Pension
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Compass
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Bates & Company, Inc.
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Regional Vice President of Sales The Retirement Plan Company
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Standards of Conduct for Investment Professionals: Overlapping Protections for Broker-Dealer Retirement Customers
Eversheds Sutherland [Guidance Overview] Oct. 17, 2018 "[If] Regulation BI and Form CRS (Client Relationship Summary), at least structurally, are adopted by the SEC as proposed; and ... ERISA regulation reverts as expected to its pre-June 9, 2017 state.... there would be four bodies of nationally applicable regulation broadly imposing standards of conduct on [broker-dealers] in the retirement space: [1] The federal securities law administered by the SEC; [2] The rules of the Financial Industry Regulatory Authority (FINRA); [3] The prohibited transaction excise tax provision of the Internal Revenue Code (IRC); and [4] The fiduciary standards and prohibited transaction rules of ERISA enforced by the DOL." |
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