Description

Understand the fiduciary responsibilities of financial advisors, as well as the role of ERISA, UPMIFA, SEC, and FINRA.

Learning Objectives

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1. Identify the fiduciary responsibilities of financial advisors in the US.
2. Recall the responsibilities of advisors under ERISA.
3. Recall the responsibilities of advisors under UPMIFA, Determine the role played by regulatory agencies including SEC, FINRA, and state agencies.