Advisor Annual Notification Delivery Options Every year, Mutual Advisors, LLC (“Mutual”) is required to provide investor clients with an annual notification that identifies whether or not any material changes have been made in the last 12 months to ...
How to View Regulatory Mailing Lists Mutual Advisors, LLC (“Mutual”) has a responsibility to send certain regulatory notifications to investor clients at least annually. There is an annual requirement to send any material changes to Form ADV, Form ...
Regulation Best Interest (Reg BI) Compliance Obligation requires that recommended transactions are consistent with the customer’s best interest. It is critical to remember that the risks, rewards and cost advantages of one mutual fund share class ...