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The employee and independent BD collected excess UIT commissions and failed to properly review inactive accounts, the regulator says.September 18
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The rule unfairly gives brokers a leg up in the marketplace, harming the network’s 1,000 independent advisors, the firm claims.September 10
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The agency's goal of trying to recover client losses allows advisors accused of fraud to decide who'll manage their clients’ remaining assets.September 5
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The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.September 5
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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 first-of-its-kind product is cleared and features the same creation-and-redemption process common with traditional offerings.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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While the agency has publicly detailed key focus areas, some planners still don't know how it evaluates firms.August 28
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IFS has notified regulators about the alleged illegal trades, which sources say cost the firm more than $10 million.August 15
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The regulator postponed until October a ruling on whether listing rules can change to allow two cryptocurrency funds to start trading.August 13
