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Ashby Daniels discusses how he navigated the noncompete and nonsolicit agreement he had with the broker/dealer he left to eventually win back at least a subset of his prior clients.
Panelists at a roundtable co-hosted by the SEC and FINRA spoke about their initial observations of how Regulation Best Interest compliance has gone since the rule's implementation earlier this year.
The proposed rules follow revisions made by the National Association of Insurance Commissioners to its model annuity suitability regulations, designed to align with the SEC's Reg BI standard. Critics say the rules aren't strict enough.
There was once a time when investors were only interested in those already independent. But wirehouse advisors are finding these same capital sources may have an interest in funding their move.
