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Martin Ray Evans had approval from customers to transfer their accounts to his new firm, but he didn't have all the information he needed. So he impersonated them on the phone to get it, according to the regulatory agency, and was terminated.
The association's new model rule would require investment advisor representatives to complete continuing education, but some legal experts worry about a 'patchwork' of mandates.
The regulatory agency originally planned to resume arbitration and mediation proceedings at the end of January, but they can now proceed only via Zoom or teleconferencing.
Pam Capalad's Brunch & Budget business is just that -- she meets prospects for brunch to talk about budgeting and other cash flow planning issues. She's been able to turn that into ongoing financial coaching relationships.
The proposal is based on the NAIC's model regulation intended to align with Reg BI. But if a Biden administration urges changes to the SEC rule, how will states approach amending their own annuity regulations?
