Regional Vice President of Sales The Retirement Plan Company
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Compass
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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 Adopts New Broker-Dealer and Investment Adviser Conduct Standards and Disclosure Requirements
Thomson Reuters Practical Law [Guidance Overview] June 26, 2019 "The [SEC] adopted a rulemaking package, including Regulation Best Interest, new Form CRS Relationship Summary and two interpretations of the Investment Advisers Act of 1940, designed to enhance the quality and transparency of retail investors' relationships with investment advisers and broker-dealers.... Broker-dealers and investment advisers must begin complying with the new rules by June 30, 2020." |
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