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Your search keyword '"BERNARD, TARA SIEGEL"' showing total 2 results
Start Over Author "BERNARD, TARA SIEGEL" Search Limiters Full Text Topic investors Topic united states. securities & exchange commission Publication Year Range Last 10 years

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2 results on '"BERNARD, TARA SIEGEL"'

1. How to Ensure Your Adviser Puts You First.

Author

BERNARD, TARA SIEGEL

Subjects
*INVESTORS, *INVESTMENT advisors
Abstract

The article informs that new rules by the U.S. Securities and Exchange Commission would help ensure investors get best advice from investment advisors and mentions to pick an independent, fee-only adviser to act as a fiduciary.

Published
2019

2. S.E.C. Adopts Broker Rules as Consumer Advocates Object.

Author

BERNARD, TARA SIEGEL

Subjects
*INVESTORS, *INVESTMENT products
Abstract

The article reports that U.S. Securities & Exchange Commission (SEC) has voted to pass Regulation Best Interest and mentions that the changes will be helping Main Street investors by tightening the standard governor brokers who sell investment products.

Published
2019

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