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Planners and experts dive into wirehouse pay, charging clients at a higher rate, emerging business models and other key issues.2h ago
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Maybe not, says FINRA — but if you’re IM’ing, using slides during the virtual meeting, or recording it, probably yes.November 25
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James Booth’s seven-year fraud bilked investors out of nearly $5 million.November 24
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Existing regulations that protect investors and deliver clarity to the industry must be preserved by the incoming administration, writes Financial Services Institute CEO Dale Brown.November 20
President and CEOFinancial Services Institute
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The guidance clears up the tax treatment of expenses when a loan from the Paycheck Protection Program hasn’t been forgiven by the end of the year.November 19
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Five firms agreed to pay $3 million to settle an SEC investigation into unsuitable sales of complex exchange-traded products.November 16
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While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.November 16
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Democrat Joe Biden is expected to name his SEC chairman pick in the coming weeks.November 16
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The former U.S. attorney for the Southern District of New York was also once a top aide to Senate Minority Leader Chuck Schumer.November 13
