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The first-ever case of its kind is putting other broker-dealers on notice about the regulator's enhanced abilities to identify patterns of abuse.

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Explaining corporate bond portfolios can be smooth sailing

The simple analogy of a boat can help clients understand a sometimes complex investment strategy.

Exciting… or intrusive? New tools will let advisers monitor client spending

Data can be used to show clients in real time how big purchases undermine their portfolio planning. If my adviser had such access, would I still book that trip to Cuba?

Why more women than ever are putting off retirement

The surge of women in the workforce in the 1970s and 1980s means that they have job skills, connections and careers that they can continue to pursue, says Ben Steverman.
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