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With technology changing almost overnight, regulators face the difficult task of overseeing newfalse
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The 2017 Masters Golf Tournament reminds us of an SEC enforcement action that was settled onfalse
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As anticipated, the U.S. Department of Labor (DOL) has announced an extension of the applicabilityfalse
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Your annual Firm Element training should reflect the unique and diverse nature of your firm andfalse
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It wasn't long ago that a good number of investment advisers and industry professionals had thefalse
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The Department of Labor (DOL) has proposed a delay in the applicability date of its Fiduciary Rulefalse
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It’s hard to believe it has been over ten years since the inception of NASD Rule 3012 (n/k/a FINRAfalse
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In the Seinfeld sitcom which has been in syndication for years, Jerry’s friend, George Costanza,false
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Spring is approaching and you may feel it is time to clean out the office, including the filingfalse