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The good, the bad and the downright inexplicable in the suggested changes.
February 12
Buckingham Wealth Partners -
Investor advocates laud regulator's newest steps to address the longstanding problem.
February 9
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The regulator proposed rule changes that will make it considerably more difficult for advisors to erase customer complaints from their disciplinary records.
February 8
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Commission prioritizes retail investors as OCIE issues its must-read compliance letter.
February 8
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Planners are torn on whether they should DIY or give outsourcing a try.
February 6
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The regulator found the firm was deficient on capital requirements and, on 84 occasions, did not accurately calculate its customer reserve requirements.
February 5
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What some clients tried to claim on their tax returns shows they often don't know much about accounting.
February 5
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From emerging technologies to new regulatory scrutiny, Aite Group analysts expect to see many firms redefine their business models in 2018.
February 2
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The stolen funds allegedly went to pay for college expenses and credit card bills, according to federal prosecutors.
January 31
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The stolen funds went to pay for his daughter’s college expenses and to reimburse other clients, according to federal prosecutors.
January 31
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The two declined to cooperate with investigations into allegations that they engaged in undisclosed outside business ventures.
January 30 -
The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.
January 26
Cipperman Compliance Services -
The firm’s former COO is accused of destroying a copy of the culture report.
January 25
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Investigators say the broker spent his clients’ money on luxury cars and home improvements.
January 24
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Compliance and technology hurdles have snarled firms’ efforts to address a longtime gripe.
January 22
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The advisor transferred funds from his sibling's Wells Fargo accounts and deposited them into a jointly owned account that he used to pay off credit card debts and fund home improvements, FINRA claimed.
January 17 -
A working financial planner assumes leadership of the board as its influence in Washington and nationwide hits a high mark.
January 10
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Advisors reported significant growth in assets under management and expect more of the same in the coming months.
January 10
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It’s not easy, but advisors who believe they were wronged can request their records be expunged, an expert says.
January 9 -
The regulator outlined the top priorities for 2018 examinations.
January 8
