Tsunami of new rules bears down on advisors
With the SEC preparing to approve a number of major new rules next year, advisors face added costs and a huge amount of compliance work.
Source: investmentnews.com
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State-regulated advisers jockey to add testimonials to marketing
Smaller state advisers want to be able to post client testimonials, quote them in ads when bigger SEC-registered firms get the greenlight.
Source: investmentnews.com