Blog

Apr
25
2018
The SEC staff has announced the Share Class Selection Disclosure Initiative, and are encouraging adviser firms to self-report certain violations of the Advisers act concerning receipt of 12b-1 fees by the firm, affiliates or its supervised persons, absent sufficient disclosure, when lower-cost funds were available. Wise firms are going to evaluate their business and determine whether they are eligible for this program, and whether it makes sense to self-report any issues.
Apr
10
2018
In today's short video, attorney Joel Beck answers this question: What does it mean when assets are left "per stirpes" in a Will?
Mar
29
2018
Attorney Joel Beck shares tips and information on how to talk with your parents about estate planning, and what adult children need to know to help protect their parents.
Feb
12
2018
FINRA's jurisdiction over financial advisors extends beyond the concept of protecting the financial markets, as this advisor likely learned the hard way.
Dec
20
2017
FINRA is proposing significant changes to the expungement process for customer dispute information on a financial advisor's CRD record. FAs should review the Regulatory Notice and consider submitting comments during the comment period.

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