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The new rules will go into effect on June 30, the same day that the board will begin enforcing its Code of Ethics and Standards of Conduct, according to the board's general counsel.
Ritholtz Wealth Management was one of several firms to disclose it received a Paycheck Protection Program loan to help with expenses amid the coronavirus pandemic, according to Form ADVs submitted to the SEC.
A lot can be learned listening to clients’ experiences working with financial advisors—good and bad. We talked to Janine Firpo, a retired international development executive in Oakland, Calif.