Regional Vice President of Sales The Retirement Plan Company
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Loan & Distribution Specialist AimPoint Pension
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Bates & Company, Inc.
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AimPoint Pension
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Compass
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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The SEC's Best Interest Proposal for Advice Given by Broker-Dealers (PDF)
Congressional Research Service [CRS] Jan. 29, 2019 "The SEC's new 'best interest' proposal would require a broker-dealer 'to act in the best interest of a retail customer when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer.' ... This [article] provides background on the proposed rule and describes the policy debate surrounding the rule. SEC Chairman Jay Clayton has announced that completing the rule will be a key priority for the SEC during 2019." |
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