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The industry group is seeking restrictions on how brokers can describe their services and responsibilities.
January 11
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Liquidity and valuation are the regulator’s key areas of concern.
January 10
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It’s not easy, but advisors who believe they were wronged can request their records be expunged, an expert says.
January 9
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Critics say the practice of using non-attorneys, some with criminal records, to represent investors often makes their problems worse. Advocates say it's cheaper.
January 4
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As a result of the violations, the firm created deficits in foreign and domestic securities valued at hundreds of millions of dollars, FINRA alleged.
December 27
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More than 15 similar products have been proposed since 2013. Some applications were withdrawn. Others are in purgatory.
December 20
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Digital advice is vulnerable to bait-and-switch and choice manipulation schemes.
December 13
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Industry experts offer their forecasts for leading trends in the coming year.
December 12
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It’s a common practice but a dangerous one.
December 12
