Despite Reg BI's implementation, many broker/dealers continue to operate as they did under the suitability standard, according to a new NASAA report. But the group is advocating additional guidance in lieu of amendments to the SEC’s rule.
Investors may bristle at the mere mention of tracking error—but that’s what helps them keep more of their money while maximizing their after-tax returns.
Convenience is quickly evolving into an essential element of any successful business. Advisors need to level up their digital experiences with clients to stay relevant.
Join this webinar on Thursday, Nov. 11th to learn a potential solution enabling clients to reduce downside risk through a built-in-buffer, while maintaining the upside potential of the market.
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