The Practice: Regulatory/legal issues
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September 24, 2018RightCapital and Betterment Team Up on Initiative for RIAsSeparately, TD Ameritrade Institutional and Schwab Advisor Services are piloting an Envestnet Tamarac integration.No Comments
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September 24, 2018Ex-Morgan Stanley FAs Fight Firm’s TRO RequestSix brokers who’d jumped ship to Stifel and face a lawsuit from Morgan Stanley argue they should be allowed time to respond.No Comments
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September 21, 2018Merrill Lynch's Commission Ban Reversal: Here's How Advisors See it Playing OutIt all comes down to what the client wants, doesn't it?Last Comment: September 21, 2018
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September 21, 2018Why Rep-as-Advisor Asset Revelations Could Hint at a Big Churning ProblemResearchers insist recent gains in the amount of these assets raises concerns about possible reverse churning and unsuitable recommendations.No Comments
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September 21, 2018Ex-Registered Rep Charged with Running Million-Dollar ScamFormer broker has so far collected 47 disclosures on his BrokerCheck record.No Comments
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September 21, 2018SEC Charges Fraudsters Who Allegedly Targeted Investors and Advisors in $345M SchemeThe regulator has obtained an asset freeze against the alleged fraudsters.No Comments
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September 20, 2018List: Most Popular Marketing Methods for Broker-DealersFinra provides standards for the content, approval, recordkeeping and filing of communications with the public.No Comments
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September 20, 2018Big RIA Reaches SEC Settlement Over Prohibited TestimonialsCreative Planning allegedly distributed radio ads with prohibited client testimonials.No Comments
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September 20, 2018Judge Denies UBS Investors’ Class Certification over Puerto Rico FundsA New York federal judge ruled the investments’ suitability would vary by investor.No Comments
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September 19, 2018Explainer: What Is Regulation Best Interest?Earlier this year, the Securities and Exchange Commission proposed a new rule called Regulation Best Interest, which aims to ensure that brokers put their clients’ interests above their own. But the SEC’s 400-page proposal does not define “best interest,” leading to industry questions. This is the latest video in Ignites' Explainer series, which offers primers on oft-used but rarely explained terms, concepts and trends.
Transcript Video [ 3:45 ] Last Comment: September 19, 2018
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