The Practice: Regulatory/legal issues
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May 31, 2017Fund Shares Without Distribution Fees Are on the RiseFiduciary rule is causing mutual fund providers to roll out more so-called “clean shares.”
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May 31, 2017How to Keep Your Systems from Getting HackedForesight, training and updates are key to thwarting cyberattacks.No Comments
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May 26, 2017When FAs Don’t Follow Their Own AdviceA family death puts an advisor in a difficult position.No Comments
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May 25, 2017Goldman Sues Former Wealth Unit Execs Over PoachingBank says they stole clients and tried to lure ex colleagues to their new firm.No Comments
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May 24, 2017DOL Supporters Say They’ll Sue Over More DelaysLegal experts are split on the chance of the suit’s ultimate success.No Comments
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May 23, 2017No More Delay for DOL Rule: It Goes Live June 9Beyond that certainty, however, the rule's fate remains a mystery.Last Comment: May 23, 2017
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May 22, 2017Finra Considers Combining Its Enforcement ArmsHaving two different programs may overburden firms and the regulator itself, Finra chief says.No Comments
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May 19, 2017Finra Report Cards Meant to Cut Broker FraudMore grades to cover more criteria by the end of the year.No Comments
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May 19, 2017Ex-Morgan Stanley FA Must Pay Back Promissory NoteBroker who had been with the firm five months ordered to pay back $500,000.No Comments
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May 19, 2017Merrill Fined $650,000 Over Customer TradesFirm allegedly failed to deliver best price and record transactions.Last Comment: May 19, 2017
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