The SEC Cracking Down on May and Might - E42 - a podcast by Fixed Cost Financial
from 2019-05-07T18:00
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The Securities and Exchange Commission (SEC) appears poised to crack down on the use of words like may, could, and might. There is no place in a professional ADV for these words. Be specific or get out of the business.
A true fiduciary is conflict free in appearance and reality. Any form of discriminatory compensation makes void and null anyone’s statement that they are a fiduciary.
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