Regulations that Impact Advice to Retail Investors w/Duane Thompson, AIFA®

11/05/2021 49 min Temporada 4 Episodio 66
Regulations that Impact Advice to Retail Investors w/Duane Thompson, AIFA®

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Episode Synopsis

Robert Powell, the editor of Retirement Daily at The Street, interviews Duane Thompson, AIFA® , President, Potomac Strategies, LLC on the major changes to the Securities and Exchange Commission's advertising and marketing requirements for registered investment advisers. They talk legislative updates and discuss Reg BI.