Understanding Risk Tolerance to Remain Compliant

Evensky, Harold; Moreschi, Robert W.
July 2011
Journal of Financial Planning;Jul2011, Vol. 24 Issue 7, p28
Academic Journal
The article discusses how financial planners can strategize risk tolerance to maintain compliance regulations in the U.S. It states that risk tolerance is an important factor in offering desirable advice, considering the demographic and financial factors. It mentions that the Securities and Exchange Commission (SEC) has approved the 2090 and 2111 rules promulgate by the Financial Industry Regulatory Authority (FINRA) to replace rule 2310. It notes that the change of rules is essential to emphasize the obligation of an adviser or broker to offer recommendations suitable to the customers which is inherent to forming a successful business practice.


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