2002, Compliance and Fee Only - Financial Advisor Source

Transcript: Jonathan Clements

The Big Picture

JANUARY 21, 2025

I mean, these sort of traditional brokers were much slower to adopt ETFs than, you know, fee only financial advisors. I did it in 2000, 2002. It was just a struggle from day one, particularly in the regulatory environment that is the securities business between lawyers and compliance people. I did it in 2008 in oh nine.

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SEC Narrows Scope of Internet Adviser Exemption

XY Planning Network

MAY 21, 2024

Since its approval by the SEC in 2002, the Internet Adviser Exemption has gained increasing popularity and interest among advisers as a possible path to SEC registration, especially if the adviser may not otherwise qualify for federal registration.

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Financial Advisor Source

Transcript: Jonathan Clements

SEC Narrows Scope of Internet Adviser Exemption

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