 So, there's really only one way to "fix" the protocol – it's for the SEC to amend Regulation S-P to codify the broker protocol for all."Sharron Ash is chief litigation counsel at The Hamburger Law Firm, an affiliate of MarketCounsel. . |
To 'fix' the broker protocol, bring in the SEC
Sharron Ash | InvestmentNews, November 2017
Read the article online >Summary: The foundation of the Protocol for Broker Recruiting, and indeed the stated purpose, is to support client freedom of choice, to permit clients to move with their adviser when they change employment.
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