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Financial Advisers Need Steady Learning to Keep Earning
The pace of innovation and investors’ changing habits require raising the bar.
Photographer: Christopher Furlong/Getty Images
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It’s time for financial professionals to become a profession in substance, not just in name.
The Securities and Exchange Commission proposed new rules for brokers and financial advisers last week. Observers have understandably focused on the big change, which requires brokers to disclose their conflicts and look after clients’ best interests.