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Even as Nevada, Maryland and New Jersey press ahead with their own proposals, the IAA seeks exemption for SEC-registered advisors.
March 1
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Michael Solomon oversaw a staff of 350 people at the regulator, according to his new employer.
February 28
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The company said it might have to spend as much as $2.7 billion to resolve a variety of investigations and other legal troubles.
February 28
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Forty-seven investors, some over the age of 63, were among the victims.
February 27
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The transparency of a fee charged to other fund firms for use of the platform is allegedly questioned.
February 27
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A financial advisor at another firm says he was promised a lower mortgage rate at Bank of America if he deposited money into his Merrill Edge account.
February 27
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Not knowing a FINRA rule can’t save an advisor from statutory disqualification.
February 26 -
The IBD is one of three dozen firms the regulator has accused of failing to provide sales-charge waivers to eligible retirement plans and charities since 2015.
February 21
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Firms can expect scrutiny of their compliance with the regulator's Custody Rule, compensation and account placement.
February 19
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Thomas Buck misled clients in order to charge them excessive commissions, according to federal prosecutors.
February 15
