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July 3, 2018

BDs Peddling Private Placements Are Being Targeted by Mass Regulator
Massachusetts’ top securities watchdog is scrutinizing LPL Financial and nine other firms that hire “bad brokers” and sell the product.
SEC Charges NY Broker-Dealer and Supervisors Over Churning
Alexander Capital agrees to pay over $400,000 while two supervisors agree to penalties and bars.
Why Many RIAs Refuse to Go Anywhere Near Bitcoin
Many believe it's just too risky for retail customers.
SEC’s Piwowar Says Best Interest Rules to Be Shaped by Comments
Departing Commissioner Michael Piwowar also says a vote on the proposed rules isn’t likely until at least next year.
To Ensure Successful Legacy Planning, Ask About Intangibles
Financial advisors who want to assist their clients with legacy planning should focus on the value they can add as drivers of conversations.
Here’s How Finra Spent Fines in 2017
Top spending categories included monitoring and analytics tools, compliance facilitation and staff training.