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The SEC published more than 1,300 pages of regulatory information. Here's what advisors need to know.September 3
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The IBD failed to adequately disclose conflicts of interest to clients related to receiving $10.8 million from mutual funds and its clearing broker, the SEC says.August 30
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Critics reject the notion that disclosure alone is sufficient for reigning in conflicts — but the charges against Commonwealth have put BDs on notice.August 12
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The firm didn't disclose its conflicts of interest in receiving over $100 million in revenue sharing from mutual funds over nearly five years, the SEC says.August 1
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The commission warns practices to tighten up supervision and ensure accurate disclosures.July 24
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It's the first significant regulatory filing requirement for RIAs in more than a decade.July 1
PresidentRIA in a Box
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With transparency about conflicts on the rise even as it varies by firm, critics question whether clients really understand complicated technical documents.May 30
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The SEC is running on a skeleton crew that effectively halts routine oversight.January 3
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The commission's new risk alert focuses on fees and expenses and amplifies its focus on disclosures and compensation structures.April 13
