The Practice: Regulatory/legal issues
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May 30, 2019Ex-Commonwealth FA Barred Over Failing to Provide Docs Requested by FinraThe regulator was investigating allegations that the FA had committed fraud, converted customer funds and borrowed money from a client.No Comments
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May 30, 2019What Happens Next When Trump’s Chief of Staff Takes Over DOL’s Rulemaking Process?It remains unclear how the intervention will affect the DOL’s proposed rollout of a new version of its fiduciary rule.No Comments
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May 29, 2019Just How Much Education Does the Typical Investor Really Need?They may be more sophisticated than we think.
Transcript Video [ 3:53 ] No Comments -
May 29, 2019Ruling on False Info Liability Could Help Established Managers Win Advisor BusinessReputational risk could be at stake in any fallout from new SCOTUS ruling, says broker-dealer executive.No Comments
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May 29, 2019Lawyer Claims Redtail May Have Broken State Laws in Handling Data ExposureMeanwhile, an Aite analyst says other retail brokerage and fintech firms have similar cybersecurity vulnerabilities.No Comments
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May 29, 2019Tony Robbins Split with Creative Planning Was Long in the MakingCreative Planning boss tells the media that the separation was in the works prior to allegations of Robbins’ sexual misconduct.No Comments
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May 28, 2019Morgan Stanley Advisor Gave Bad Advice, Lawsuit ClaimsThe advice apparently involved how to deal with taxes on an inherited retirement account.No Comments
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May 28, 2019SEC Warns Broker-Dealers and Investment Advisors About Customer Data Security FailuresThe regulator has issued a risk alert on customer records stored in the cloud and other network storage solutions.No Comments
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May 24, 2019Here’s What Keeps Morgan Stanley’s Regulatory Exam Head Awake at NightThe list includes regulations, cybersecurity, employee activities and senior investor protection.No Comments
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May 24, 2019House Passes Comprehensive Retirement Savings BillFollowing the vote, the Senate has filed to consider the SECURE Act under an unanimous consent agreement, according to the Insured Retirement Institute.No Comments
