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The key is thinking like a business owner and acting like a CEO, according to a new report.

While the SEC does its due diligence into the new European rules, some of the world’s largest money managers have started to make independent decisions.

The wirehouse failed to properly supervise more than $33 billion worth of UIT transactions, according to FINRA.

The rep purportedly received an email from the impostor requesting that she sell securities to fund the wire request to a third-party in the United Kingdom.

Some investments are harder to advise on than others — think of rare coins and art — but advisors can distinguish themselves.

Anthony is senior consultant, VB broker strategy.

The company is evaluating ways to package both its quantitative and active strategies into the funds, according to a person familiar with the matter.

The case marks the second one this month involving the newly acquired IBD.

New FINRA guidelines lay out the consequences.