2018 Commission Fee Only 
Inside Information
SEPTEMBER 28, 2021
One of the XYPN petitions asks the SEC to greatly expand on its 2018 proposal to limit what brokers and registered reps are allowed to call themselves if they continue to refuse to register as RIAs and avoid bringing themselves under the fiduciary regulatory structure. Of course, this was never finalized.
Sara Grillo
AUGUST 14, 2023
If their sole method of compensation is a product, and/or they are taking commissions, then in reality it is less likely they are embracing all the values that the standard requires. Commissions are opaque. She was awarded a JD in September 2018 and passed the California Bar Exam in February 2019. Insurance is opaque.
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.
Inside Information
OCTOBER 30, 2021
Rostad is currently focused on what he sees as our best chance for meaningful reform: getting the Commission to revise the Form CRS disclosure so that it provides a clearer explanation of the different business models of broker-dealers/wirehouses, on the one hand, and fiduciary RIAs registered with the SEC on the other. “If
Sara Grillo
MAY 8, 2023
Sara G About Bobby Samuelson Bobby co-founded Life Innovators in 2018 and has been President and CEO since its inception. SARA GRILLO: Okay, what resources have you availed yourself of, they can provide us with more knowledge and transparency as a fee-only advisors or the advisors that are listening to this. Excuse exactly.
Sara Grillo
SEPTEMBER 26, 2022
Securities and Exchange Commission. Securities and Exchange Commission. So I think that there’s just a lot of problems with the board, and if it wants to operate the way I want to operate, that’s fine, but don’t hold yourselves out there to be the gold standard. 2022, August 1). CFP® Professional Demographics.
Expert insights. Personalized for you.
40 
Let's personalize your content