FINRA's Ketchum Speaks of Fiduciary Duty

At SIFMA gathering, debate about restoring investors' confidence in financial services industry

More On Legal & Compliance

from The Advisor's Professional Library
  • Best Practices for Working with Senior Investors Securities examiners deal harshly with RIAs that do not fulfill their fiduciary obligations toward senior investors, as the SEC and state securities regulators view older investors as particularly vulnerable and in need of protection.
  • Whistleblowers A whistleblower is any individual providing the SEC with original information related to a possible violation of federal securities law.  The Dodd-Frank Act established a whistleblower program that enables the SEC to reward individuals who voluntarily provide such information.
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