5 Things to Know About NASAA’s Model Rules

NASAA published two model rules in November 2020 related to continuing education requirements and written policies and procedures. While each state determines whether to adopt model rules, you should familiarize yourself with the requirements, not just so you can comply, but because some of the requirements are just good business practices. Get ready for more… READ MORE

CFP Fee-Only Guidance

Financial advisors who hold a financial services designation are required to abide by a code of ethics associated with that designation. These financial advisors may not be aware, however, that failure to comply with such ethical standards could lead to a public sanction that any client or prospective client could consider when determining whether to… READ MORE