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One topic under alleged examination is the monthly process through which prices of the benchmark’s futures contracts are calculated.
May 4
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The commission's frequently asked questions come six weeks ahead of the deadline to self-report placing clients in high-fee share classes.
May 2
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New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.
April 24
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“The broker-dealer world has tried to hang their hat on suitability, and if you close your eyes a little and squint, they almost look like fiduciaries — but not really,” one advisor says.
April 20
Momentum Advisors -
Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.
April 12
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The misconduct is so pervasive that the regulator is temporarily allowing violators to come forward.
April 9
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Compensation levels rose approximately 7% last year despite mounting industry challenges.
April 6
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Advisors who should self-report a violation — but don’t — could face enforcement actions.
April 3
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Issuers and investors stand to benefit from the provision, which makes it easier for managers to select securities for their funds, but not without risk.
March 27
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The organization awarded millions to firm insiders that provided information in a 2016 case against BofA.
March 19
