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4 minute read
The Securities and Exchange Commission (“SEC”) has disciplined firms and individuals for...
2 minute read
Ho Ho Ho…Tis the season. It’s that time of year again – the holiday season is officially upon us....
3 minute read
The Magic 8 Ball is a toy that was first enjoyed by children in the 1950s. The toy gave standard...
2 minute read
An interesting development arose earlier this month in the qualified retirement plan space. Three...
3 minute read
Before making a hiring decision, newly registered investment adviser representatives should conduct...
2 minute read
On August 25, 2016, Registered Investment Advisers (“RIAs”) received the news that the SEC adopted...
6 minute read
DRP – Disclosure Reporting Pages, those words send shivers down our spines. What are they exactly?...
4 minute read
In their 2016 examination priorities letters, the SEC and FINRA stressed that suitability will be a...