What is the FOCUS report? What is the purpose of filing a FOCUS report? Has that been achieved?
What is the SSOI? What is the purpose of the SSOI? Has that been achieved?
What is the AML? What is the purpose of the AML? Has that been achieved?
What is suitability? What are the problems created by suitability for brokers advising clients about investments?
New rules have been proposed concerning the investment advice given by brokers. What is the effect of the new rules on suitability? Will these regulations resolve the conflict of interest situation between brokers and clients? Why or why not?

 
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