Advisors face a range of restrictions on their advertising and marketing efforts. This document is designed to provide a general…
As a fiduciary, an adviser has an obligation to seek to obtain “best execution” of client transactions. In meeting this obligation, an adviser must seek to execute securities transactions for clients in such a manner that the total cost or proceeds of client transactions are the most favorable under the then-prevailing market conditions.
Insights from Michael Sakraida, founder of the Financial Advisor Network (FAN) group, and how the recent collage admissions scandal is relevant to financial advisors.