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Six fiduciary groups call on advisors press SEC to clarify the differences between advisory and brokerage business models.
June 28
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Former San Diego Chargers guard Kris Dielman says the independent broker dealer failed to supervise his former advisor.
June 27
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Issuers want the regulator to go further and make it easier for managers to choose the securities they add or subtract when they issue and redeem shares.
June 21
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The firm agreed to settle and admitted wrongdoing, according to the regulator.
June 20
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Disparate voices in the fiduciary debate agree that Form CRS might be too dense and complex to achieve meaningful disclosure.
June 19
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The advisor told the client that she could pre-pay her advisory account fees at a discount by writing him a $7,400 check, FINRA claimed.
June 14
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Keeping brokers and advisors on a separate regulatory track could preserve the “competitive advantage” that RIAs enjoy, says Schwab exec.
June 13
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Critics say the SEC isn’t living up to promises made when Jay Clayton became chairman.
June 7 -
The holdings demonstrate “resiliency over several credit cycles, with low realized principal losses and robust returns for CLO equity,” managers say.
June 7
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The quant crowd is justifiably concerned by the lack of objective statistics available.
June 6
