In March, I was honored to be able to sponsor the Financial Planners Association of New Jersey workshop. In my discussion with members, the one word that persistently came up in conversations was compliance. Folks in the financial industry were afraid to promote themselves and keep in contact with clients because of the strict S.E.C. rules on disclosure.
I am happy to report that, at the beginning of April, the S.E.C. outlined new disclosure rules that clarify how companies