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2 minute read
To paraphrase an old saying, no one ever laid on their deathbed wishing they had spent more time on...
3 minute read
Background
1 minute read
With technology changing almost overnight, regulators face the difficult task of overseeing new...
1 minute read
The 2017 Masters Golf Tournament reminds us of an SEC enforcement action that was settled on...
1 minute read
As anticipated, the U.S. Department of Labor (DOL) has announced an extension of the applicability...
2 minute read
Your annual Firm Element training should reflect the unique and diverse nature of your firm and...
3 minute read
It wasn't long ago that a good number of investment advisers and industry professionals had the...
1 minute read
The Department of Labor (DOL) has proposed a delay in the applicability date of its Fiduciary Rule...
3 minute read
It’s hard to believe it has been over ten years since the inception of NASD Rule 3012 (n/k/a FINRA...