Annually Required SEC Disclosures
SEC Chairman Jay Clayton on Selecting an Advisor
When it comes to finding a financial professional that is right for you, it’s important that you understand the key features of the relationship so you can make the best decision. In these short videos, Chairman Jay Clayton explains the key differences between broker-dealers and investment advisers. He discusses the types of services each type of firm offers, how they are paid, and other things to consider in deciding whether to work with a financial professional. Before making this decision, we encourage you to conduct a free background check.