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The department says it is working “to determine how we might improve” the regulation.
February 12
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The 33-year-old advisor allegedly spent clients’ money on luxury items and business expenses for his startup.
February 11
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While getting a rules overhaul through a bitterly divided Congress won’t be easy, analysts, consumer advocates and experts say changes may be on the table.
February 10
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The troubled alts manager’s charges will trigger many more arbitration proceedings and potential regulatory cases, plaintiff attorneys say.
February 9
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The Silicon Valley startup left users fuming by temporarily restricting certain purchases at the height of January’s mania over GameStop.
February 8
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If approved, the vehicle will focus on acquisition targets in the consumer or retail industries, according to the prospectus.
February 5
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Known primarily from his decades-long MLB career, Alex Rodriguez is joining a roster of wealthy celebrities backing blank-check companies.
February 5
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Following through on its staged approach to new advice standard, industry regulator expected to be less patient with the "laggards."
February 5
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Wealth managers acting as “downstream broker-dealers” allegedly made $187 million in commissions and other selling fees on GPB Capital investments.
February 4
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In the new Form CRS, firms must justify whether they place client assets in advisory or broker accounts.
February 4
