sifma

Advisor Upside

Should the SEC Ease the Communications Rule?

Photo by Nathan Dumlao via Unsplash

SIFMA called the current regulations burdensome, costly and unnecessary.

2 min read

Photo by Getty Images via Unsplash

Advisor Upside

Who Gets to Call Themselves ‘Advisor?’

The North American Securities Administrators Association updated a rule that seeks to bar many broker-dealer reps from using the title.

2 min read

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