Regional Vice President of Sales The Retirement Plan Company
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Bates & Company, Inc.
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AimPoint Pension
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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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Compass
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SEC Investor Advisory Committee Calls for Stronger Best Interest Regulations
planadviser Nov. 12, 2018
"The IAC says there are some actions that the SEC should take to ensure that this goal is put into action, starting with clarifying that the standard for broker/dealers and investment advisers should always be to act in their customers' best interests. The IAC would also like the SEC to expand the best interest obligation to dual registrant firms with respect to rollover and account recommendations."
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