Under Dodd-Frank, the SEC is working to remove the credit agencies from their central role in the industry, which includes calculating broker-dealer capital.
After all the recent cases of the SEC cracking down on traders manipulating micro-cap stocks for their own profit, along comes an advisor pushing prices on most of his clients' behalf.
The SEC has written an official "no action" letter eliminating the threat that CFP Board requests to see advisors' customer complaints will put them in double jeopardy.
Regulatory compliance and advertising review services.
You'll be emailed a discount coupon for $30 off the CFP® Ethics Class after signing up for A4A's $60 quarterly membership, featuring Fritz Meyer, Bob Keebler, and Craig Israelsen.