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The price hikes would come as early as 2022, and follow a budget deficit in 2019.
July 2
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The board is “decisively moving away” from allowing advisors to self-disclose, CEO Kevin Keller says.
June 25
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A Democratic-led SEC could revisit Reg BI, advocacy groups and industry observers say.
June 16
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SagePoint Financial failed to adequately supervise reps who recommended that clients exchange the products before maturity, the regulator says.
June 16
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It’s the regulator’s largest restitution order this year.
June 4
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Don’t expect significant changes anytime soon to longstanding complaints about conflicts of interest in the “issuer pay” model of the ratings business.
June 3
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Firms founded by Jason Wenk allegedly failed to oversee a former advisor accused of investing clients in unregistered securities.
May 22
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The hackers claim to be officers from the regulatory agency who have documents requiring immediate attention.
May 5 -
Charles Doraine settled with the Financial Industry Regulatory Authority on Monday without admitting or denying FINRA’s findings.
April 28
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Firms are spending millions to comply with a controversial rule that is facing a legal challenge while state regulators push their own stringent regulations.
April 27
