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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 20President 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 10PresidentPIABA
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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