This month the Securities Exchange Commission published a proposal (IA-4888) for additional regulations for Broker/Dealers and Investment Advisers. Over the next few weeks, we will break this down so it can be more easily digested and not so frustrating for you. It feels like there’s a constant stream of new regulations and amendments that we must deal with, but with a little guidance, we can find simple solutions to these complex problems. IA-4888 was published this month wi

IA-4888 was published this month with the goal of establishing Form CRS guidance, amendments to Form ADV, and clarifying the required disclo