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The shareholder report would start with a fund name, ticker symbol, the words “Annual Shareholder Report,” and a legend
Proxy Voting
A peer has shared a copy of the firm's proxy voting guidelines
An example of the SEC's proposed 'tailored' shareholder report for mutual funds
The proposal would move “fund disclosures to the 21st century” by urging funds to use interactive and “user-friendly design features” to help investors “customize” information ...
Jay Clayton
Today’s proposal would establish a new disclosure framework for mutual funds and ETFs that modernizes the shareholder reports provided to existing investors and the prospectuses ...
But to many investors, the SRI concept looks at more than just returns. They instruct their advisers to avoid tobacco stocks, industries that contribute to ...
Specify what you will and won’t do regarding these class actions in your advisory agreement and Form ADV disclosures
The coronavirus crisis caught almost everyone off guard. But now, two months into lockdown, and no date certain on when we’ll get back to “normal,” ...
A peer shares the form the firm uses to document with the client investment objectives
Hackers could do more damage than that should confidential information be shared between an adviser and its client via Zoom
There are many services designed to help you stay in touch with your colleagues should COVID-19 keep you separated for a long time
The final rule is designed to help investors make informed investment decisions regarding variable annuity and variable life insurance contracts
This form comes courtesy of Kim Collins of Compliance Resource Partners in Highlands Ranch, Colo.
A transition plan can run as short as 2-3 pages
A 'hire me' conversation "on the golf course, at social gatherings or while running errands" could force delivery of your Form CRS
Stephanie Elliott, CCO at Chapin Davis in Baltimore shares some questions the firm has reps pursue when considering moving an brokerage client to the IA ...
A peer shares items that should be found within a new client's folder.
This form consists of two separate accredited investor questionnaires (one applicable to individuals and one applicable to entities)
A peer shares the firm's form it uses to document a client's investment objectives
stock share trading traders
We are adopting a new communications rule under the Securities Act of 1933 that permits issuers to engage in oral or written communications with certain ...

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