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Former New Jersey State Attorney General Gurbir S. Grewal proposed a uniform fiduciary standard for that state, indicating a possible 'expansive' interpretation of Reg BI in his new role.
Mark Bruno sits down with Claire O'Keefe, partner and head of corporate development at Cerity Partners. Claire reveals how Cerity Partners was able to become a top RIA and how it fostered long-term, sustainable growth.
The settled charges against 21 investment advisory firms and six broker/dealers asserted that none had filed or posted their forms until receiving numerous reminders from regulators.
