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Key Highlights The financialadvice world is changing. Introduction In today’s changing finance world, registered investmentadvisors (RIAs) must comply with the provisions of the marketing rule, including entering into a written agreement, and must not include any untrue statement of a material fact to stand out from others.
2 Should those with only insurance licenses that allow them to sell annuities and/or life insurance be held to the same fiduciary standard as registered investmentadvisors? And if you want to join the right for higher ethics in financialadvice, join the Transparent Advisor Movement.
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