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New Regulations From SEC?

NYSE Stock Exchange

New Regulation for Brokers and Advisors?

We are watching and are supportive of the evolution that is underway to have brokers, broker dealers and financial advisors held to a high standard or for some a higher standard. In addition, the CFP Board is working on new rules that could impact the requirements to be considered a Certified Financial Planner and use the marks that promote the designation for all those with the certification.


Not all financial services professionals deliver a Fiduciary Standard of Care to their Clients or potential Clients. Educate yourself to know the categories.


Articles for your review:

Securities and Exchange Commission (SEC) Article

CFP Board Article