Regulation and Industry. The two go hand in hand and the financial services industry is no different. Since its inception in 1987, NEAM has maintained a current regulatory and compliance record with the state of Minnesota and initially with the SEC, now via IARD.
Prior to any financial discussion, let alone any financial agreement, you must be presented with the Minnesota Disclosure Statement, as required by the Minnesota Department of Commerce. This no obligation document details all potential services that may be contracted and the corresponding fee(s) that would be levied, if services were agreed upon.