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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

Post Author: OverShare Advice and Planning, LLC