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Compliance slideshow
New York Stock Exchange
Suitability
Pedestrians walk past the New York Stock Exchange (NYSE) as "Caution" tape is seen in New York, U.S., on Monday, May 8, 2017. U.S. stocks slipped from all-time highs, while Europe's common currency weakened following a convincing defeat of populism in France's presidential election that investors had already priced in. Photographer: Michael Nagle/Bloomberg
cybersecurity-hack-data-breach-cloud
Cybersecurity
White-collar handcuffs
Bad brokers
Former Worldcom CEO Bernard Ebbers, is escorted in handcuffs from the U.S. Federal Bureau of Investigation where he turned himself in this morning in New York, March 3, 2004. He was indicted yesterday for allegedly masterminding the biggest accounting fraud in US history. Photographer: Daniel Acker/ Bloomberg News.
Retirement retirees 2 by Bloomberg News
Senior investors
Elderly pedestrians walk on Eastbourne Pier in Eastbourne, U.K., on Monday, Aug. 22, 2016. Pensions are looking like an economic time bomb for Britain, meaning investors had better watch how the nation tries to defuse it. Photographer: Matthew Lloyd/Bloomberg
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Public pensions
Joe Ratterman of Bats Global Markets Inc., Nasdaq OMX Group Inc arrive for a meeting at the Securities and Exchange Commission in Washington, D.C., U.S., on Monday, May 10, 2010. The chief executive officers of the biggest U.S. stock markets were called to a meeting at the U.S.Securities and Exchange to discuss last week’s selloff in equities, according to four people familiar with the situation. Photographer: Joshua Roberts/Bloomberg
Finra
Branches
Roll of cash
Anti-money laundering
SEC entrance - Bloomberg News
Robo advice
Advisers-increasing-use-of-ETFs
ETFs
New York Stock Exchange
Private funds
Coach Inc. signage is displayed on a monitor on the floor of the New York Stock Exchange (NYSE) in New York, U.S., on Monday, May 8, 2017. U.S. stocks slipped from all-time highs, while Europe's common currency weakened following a convincing defeat of populism in France's presidential election that investors had already priced in. Photographer: Michael Nagle/Bloomberg