Solely Incidental Financial Planning

Thompson, Duane
March 2006
Journal of Financial Planning;Mar2006, Vol. 19 Issue 3, p36
Academic Journal
The article reports that the U.S. Securities and Exchange Commission (SEC) adopted rules in April, 2005, which affect how brokers provide financial planning services. The SEC rule is criticized by the author, who finds that it is unclear as to what types of financial advice brokerage firms can offer their clients.


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