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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

WiserAdvisor

MAY 31, 2022

million consumers filed a fraud report, the highest number since 2001. The objective is to thoroughly understand the background of the broker or investment advisor from whom you intend to buy a product or engage in a business. According to the Federal Trade Commission (FTC), in 2021, American consumers lost over $5.8

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New Voice at the SEC

6 Tips to Avoid Financial Fraud and Guard Your Investments

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