Regulation and compliance
Regulation and compliance
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Regulators are contacting the bank after financial details of some 50,000 clients were inadvertently sent to an outside party, according to a person with knowledge of the matter.
July 24 -
Only 3% of households earning under $50,000 a year benefitted from the mortgage interest tax deduction.
July 21 -
When and how are former employers allowed to file? Attorney and compliance expert Alan J. Foxman explains.
July 21 -
July 24: The world’s largest independent broker-dealer has launched a new mutual fund platform to adhere to the rule.
July 21 -
Are the measures you're taking enough? Compliance expert Alan J. Foxman explains.
July 21 -
A bill repealing rule moves on to House floor, while appropriators seek to block funding for the measure.
July 20 -
The agency plans to split the award between just two people who reported the bank’s product-pushing tactics.
July 19 -
FINRA claimed he intentionally structured 10 cash deposits totaling $50,000 in five personal bank accounts in amounts under the $10,000 currency transaction reporting threshold.
July 19 -
The last time the percentage was greater was when the S&P 500 was near its previous peak before the financial crisis.
July 19 -
Large, active hedge funds shorted Comex futures because of the risk of higher U.S. interest rates, driving down prices of the metal, an analyst says.
July 19 -
Operational challenges and strategic initiatives are at a crossroads.
July 18 -
The nation’s largest IBD plans to launch a platform with load-waived shares from 20 companies.
July 17 -
The former rep refused to comply with a FINRA investigation into allegations that he exercised influence over an elderly woman.
July 17 -
Depending on business mix, some advisers could see a pay cut.
July 17 -
If it’s undertaken, the appeal case will not be completed before Banks is scheduled to begin serving his 4-year sentence next month.
July 14 -
With smaller paychecks and longer life expectancies than men, one strategy includes moving their IRA assets into a Roth to reap the tax advantages.
July 14 -
A new bill would go further than past attempts to block the Labor Department altogether.
July 13 -
Expanding the fiduciary role of CFPs is a good thing — but the fine print is worth sweating.
July 13 -
Some advisers are actually embracing changes by making the rules work for them.
July 13 -
Some predict the new standards will push more planners to drop their CFPs.
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