Documents Registered Investment Advisor

The Regulation of Investment Advisers by The Securities and Exchange Commission Robert E. Plaze Associate Director Division of Investment Management United States Securities…

Documents NASAA Investment Adviser Training Workshop August 9, 2009 Breach of Fiduciary Duty Brian S....

Slide 1 NASAA Investment Adviser Training Workshop August 9, 2009 Breach of Fiduciary Duty Brian S. Hamburger, JD, AIFA®, CRCP Managing Director Slide 2 Farther from Fiduciary…