The chair of the Securities and Exchange Commission said the new Form CRS could be a substantial tool for state enforcers, during a discussion at Fordham University School of Law.
Clients can only benefit when their advisors have a broad, practical understanding of the world.
The sentencing of Jay B. Ledford comes several weeks after his co-conspirator was sentenced to 22 years in prison, with both also ordered to recoup victims' losses.
Laura LaTourette discusses the challenges she faced in building up a LGBTQ niche in her rural Georgia town, as well as figuring out how and when to come out of the closet to her own broker-dealer.
