SEC Adopts New Rules on Relationship Between Retail Investors and Financial Professionals

By Securities and Exchange Commission June 6, 2019 by renholding

The Securities and Exchange Commission today [June 5, 2019] voted to adopt a package of rulemakings and interpretations designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers, bringing the legal requirements and mandated …

Using Financial Advisor Engagement Letters to Vet Potential Conflicts of Interest

By Eric S. Klinger-Wilensky and Nathan P. Emeritz June 17, 2015 by ilyabeylin

Financial advisors often are selected by a board of directors (or committee thereof) to advise on a strategic review process because of their role as brokers in the market and their ability to generate transactional activity. Of course, that role …

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SEC Adopts New Rules on Relationship Between Retail Investors and Financial Professionals

Using Financial Advisor Engagement Letters to Vet Potential Conflicts of Interest