While working on the chapter on Regulatory Assets Under Management for my…
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FINRA recently expressed concerns about broker-dealers who advertise “free” or “no fee”…
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I have worked with a number of advisers who have never ever…
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The New York Times Dealbook Conference was one of the most inspiring…
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Everyone should have one. If you need more convincing, please read my…
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FINRA issued a report on conflicts of interest within the broker-dealer industry…
Read MoreThe SEC and the Chief Compliance Officer, 2013
Mary Jo White recently gave a speech before the National Society of…
Read MoreTaking It To A New Level — SEC Awards Whistleblower Unprecedented $14 Million
The Securities and Exchange Commission awarded more than $14 million to a…
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The wait and speculation is over for now. Today the SEC proposed…
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SEC Chair Mary Jo White recently confirmed that the SEC will not…
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