The regulator cited the “extraordinary cooperation” of Securities America, Royal Alliance and SagePoint as the reason for no penalties beyond restitution.
Jason Diamond provides a quick yet thorough education on the continually evolving independent space answering the questions that many advisor-clients ask during due diligence.
Join this webinar on Feb. 9th for a deep dive into associated incentives and opportunities with new plan creation. This presentation will help advisors understand this monumental legislation intended to increase the availability of, and participation in, retirement savings plans.
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