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The SEC examined approximately 2,180 RIAs in 2019.January 16
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Trade groups warn that a proposal could end commissions in the state and play into a "fractured" regulatory environment nationwide.January 15
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SEC-mandated disclosures for dual registrants could put clients off brokerage options, some suggest.January 8
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From closed-end funds to Reg BI, here's what could be playing out this year.January 7
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Contributing to these accounts makes sense for clients who anticipate higher tax rates in the future.December 30
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"I don't mean to ruin your holidays, but ... " Regulators and industry insiders caution against delaying compliance efforts as the June deadline approaches.December 18
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While these 20 dizzying changes will throw some for a loop, financial advisors and their clients grow more powerful each year.December 18
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One size fits all? The single form for disclosure of client-advisor relationships applies even if firms offer multiple products and services.December 16
Managing PrincipalCipperman Compliance Services
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Jay Clayton talked up the commission's latest enforcement efforts and defended Reg BI before skeptical lawmakers.December 12
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“It’s going to become increasingly more important for financial professionals to understand the potential benefits of sustainable investing,” an executive says.December 6
