By Hicbd
Fri Nov 11 2022 9:37 am
"When it comes to ADV disclosures, according to the SEC, it’s up to advisers themselves to determine whether such events as civil lawsuits, customer complaints and arbitration claims are 'material' information for clients to know about...Many (financial advisors) aren’t Finra-registered, though—and, therefore, are on the honor system."
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