January 22, 2025 NCM: Mike Grondahl Announced in TipRanks’ 2024 Top 10 Stock Analysts Northland Securities analyst Michael Grondahl takes the tenth position in TipRanks’ Top 10 with a 70% overall success rate and an average return of 23.4%. For more information: “Here are the top 10 U.S. stock analysts, according to TipRanks,” CNBC, January 19, 2025.
June 30, 2020 Client Information on SEC’s Regulation Best Interest SEC Regulation BI Information and Disclosures The Securities and Exchange Commission (“SEC”) has adopted Regulation BI (“RegBI”), a new rule under the Securities Exchange Act of 1934 (“Exchange Act”) establishing a “best interest” standard of conduct for broker-dealers and Registered Investment Advisors (“RIAs”) and associated persons when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer. The standard of conduct is to act in the best interest of the retail customer at the time a recommendation is made, without placing the financial or other interest of the broker-dealer, RIA, or associated person making the recommendation ahead of the interest of the retail customer. The SEC concurrently adopted a rule requiring each broker-dealer and RIA to provide its retail clients and file with the SEC a “Client Relationship Summary” (“Form CRS”) providing information about that broker-dealer or RIA and the way it conducts business. The RegBI Form CRS compliance and implementation date is June 30, 2020. Ask a Northland Financial Representative for more information on RegBI. INVESTOR INFORMATION – What You Need to Know – Investor.gov Online Resource Site – SEC’s Office of Investor Education and Advocacy (OIEA) FINRA Key Topic – SEC Regulation Best Interest SEC Regulation Best Interest, Form CRS, and Related Interpretations NORTHLAND DOCUMENTS Northland Form CRS Broker-Dealer ONLY (3/29/2024) Northland Form CRS Broker-Dealer & RIA DUAL (3/29/2024) Northland RegBI Disclosure Document (6-30-2020)
