In this short clip from the 2014 PLUS Conference session “PLI Exposures for Financial Services Intermediaries,” Richard Weber of The Ethical Edge discusses the SEC’s attempts to harmonize the differing standards to which registered representatives and investment advisors are held.
By PLUS|2015-02-11T15:02:51-06:00February 12, 2015|Fiduciary, Financial Services Intermediaries, Richard Weber|0 Comments
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