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SEC cases that go beyond faulting firms for their failure to disclose conflicts of interest have drawn pushback from the industry.December 30
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The state’s securities regulator claims the popular app uses “gamification” to manipulate customers and fails to prevent frequent outages on its trading platform, among other misconduct.December 16
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The regulation permits more exemptions from fiduciary duties, but may itself be replaced by the incoming Biden administration.December 16
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Planners and experts dive into wirehouse pay, charging clients at a higher rate, emerging business models and other key issues.December 1
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Existing regulations that protect investors and deliver clarity to the industry must be preserved by the incoming administration, writes Financial Services Institute CEO Dale Brown.November 20
President and CEOFinancial Services Institute
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While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.November 16
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Democrat Joe Biden is expected to name his SEC chairman pick in the coming weeks.November 16
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With a new administration, the regulator has an opportunity to renew its focus on a key pillar of its mission.November 10
PresidentPIABA
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Big changes to regulations and retirement planning could be in the mix following the Democrat’s election victory.November 7
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What different outcomes could mean for financial planners and their clients.November 4
