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Whos Client is it Anyway?
(Posted on
Wed, August 20, 2008 )
As a Financial Advisor or a Financial Professional is it your client? Is it the client of your Broker/Dealer? Is a client of the Insurance Carrier? Or is it You?
Information is based on the March 30th, 2007 ruling by US Court of Appeals for the DC Circuit that overturned the SEC Broker/Dealer Rule. This will have an effect on some $300 Billion Dollars in 1 Million different accounts.
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