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Complicating socially conscious investing is the fact the SEC doesn’t regulate how the category’s labeling is applied.
October 26
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Although in-person hearings aren’t banned outright, none have taken place since the onset of the coronavirus pandemic.
October 23
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The former J.W. Cole advisor’s practice allegedly sold more than $40 million worth of unsuitable and unregistered promissory notes.
October 22
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A recent study suggests sales of "expensive" VAs fell as a result of the vacated rule. But there are other factors at play, writes Raymond James' Scott Stolz.
October 16
Raymond James Insurance Group -
The regulator would generate an additional $225 million per year from the fee increases.
October 9
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Insiders see a Democratic administration backing tightened investor protections as industry advocates look to tax legislation.
October 8
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The advisor allegedly carried out a 20-year scheme defrauding at least 15 clients through forgery and misrepresentations.
October 7
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The advisor allegedly used an omnibus trading account to help himself and hurt his clients to the tune of tens of thousands of dollars, according to the regulator.
October 5
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The Managed Funds Association urged the agency to do more analysis before moving forward.
October 5
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Director tenures, nominations and committees are changing after an independent task force identified weaknesses.
October 1
