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New Voice at the SEC

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AUGUST 29, 2021

When brokerage firms argued that they functioned just like fee-only advisors, Roper suggested that their reps be required to register with the SEC and be regulated similarly. . Could the SEC require the brokerage firms to revise their incentive structures to be more in alignment with fee-only planners?

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6 Tips to Avoid Financial Fraud and Guard Your Investments

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MAY 31, 2022

million consumers filed a fraud report, the highest number since 2001. According to the Federal Trade Commission (FTC), in 2021, American consumers lost over $5.8 billion because of fraud, which is nearly $3.4 billion higher than the 2020 estimate. In 2021, over 2.8

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New Voice at the SEC

6 Tips to Avoid Financial Fraud and Guard Your Investments

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