NASAA Updates Model Rule to Restrict Use of the Term ‘Advisor’
In early April 2025, NASAA amended its model rules for Dishonest or Unethical Business Practices of Broker-Dealers and Agents (“Conduct…
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California’s Clean Slate Act vs. Federal Disclosure Requirements for Financial Advisors
California’s Clean Slate Act, composed of Assembly Bill 1076 and Senate Bill 731, aims to expand opportunities for individuals with…
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