electronic media

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  Americans Want Retirement Plan Disclosures on Paper

  By Danielle Andrus, AdvisorOne  |  November 16, 2012

  Believe it or not, a survey released Thursday by AARP found that the majority of respondents prefer to read retirement plan information on paper rather than with electronic media.

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  Allow E-Disclosures, Retirement Plan Coalition Urges DOL

  By Danielle Andrus, AdvisorOne  |  March 28, 2012

  On Tuesday, a coalition of interested parties took to their pens to urge the Department of Labor to allow plan sponsors to make required disclosures electronically.

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  Books and Records Rule

  By Les Abromovitz  |  January 1, 2012

  Thorough and complete books and records enable RIAs to demonstrate that they have fulfilled their fiduciary obligations to clients and complied with applicable rules and regulations.

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  U.S. Securities and Exchange Commission Information

  By Les Abromovitz  |  January 1, 2012

  This information sheet contains general information about certain provisions of the Investment Advisers Act of 1940 and selected rules under the Adviser’s Act.  It also provides information about the resources available from the SEC to help advisors understand and comply with these laws and rules.