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A new SEC-approved rule will allow regulators to publicly identify 'restricted firms' in BrokerCheck searches.
February 9
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The federal regulator's annual list of inspection priorities shows particular concern that hybrid advisor/brokers aren't properly explaining to clients how they're compensated.
February 8
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A pair of Laidlaw & Company brokers will have to pay nearly $150,000 in restitution and fines for failing to put their clients' interests ahead of their own.
February 6
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PIABA president talks about why getting online records erased is easier than many advisors think and why more barriers should be put up.
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The new year brings new regulations and the end of grace periods from federal and self regulators.
January 13
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FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.
January 11
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The Federal Trade Commission's proposal would not extend to non-solicitation clauses, which are far more common among brokers and advisors.
January 6
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Behind the broker-dealer regulator's proposed changes to its system for resolving disputes lies a lawyer's long-simmering feud.
January 5
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Some think planners need to be more forthcoming about how much of their investing work is being entrusted to third parties.
December 29
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Comments on FINRA proposal question of difficulty of getting meritless customer complaints erased.
December 22
