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Financial AdvisorTerms
> Securities and Exchange Commission
An independent, non-partisan, quasi-judicial regulatory agency with responsibility for administering the federal securities laws.
> Reasonableness
Although a certain rule might have been stated, one still needs to ask the question, for instance, "Was it reasonable to fire an employee for selling CDs in the breakroom"?
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Latest News
Latest financial advisor news in Salinas and nationwide:
Jul 08, 2005 - Civil Complaint In Federal Court
The Commission today announced it has filed a civil complaint in federal court in Seattle, Washington seeking injunctions,... Read more >
May 25, 2005 - Financial Analysts And Personal Financial Advisors
Both types of specialist gather financial information, analyze it, and make recommendations to their clients. However, the... Read more >
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Estate Planning
