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September 8, 2017

Finra Boss Reveals Big BrokerCheck Change
Appearing at a House of Representatives panel, Finra chief is grilled on the watchdog's transparency and fines.
Don’t Get Lost in the ‘Value Added’ Wilderness
Just doing your job doesn’t sound too sexy, but it may be your highest calling.
Mike Tyson’s Former FA Gets 33 Months in Prison
Advisor was facing 20 years before pleading guilty to stealing from pro athletes.
Industry Takes Sides on SEC Fiduciary Rule
New head of the regulator’s investment management unit is likely to take up the issue.
Learn to Play Psychologist Around Loss Aversion
Advisors can coach clients to be better prepared for the emotional impacts of investing.
ThinkTank: Latest Published Content