FINRA’s National Fraud and Financial Crimes Detection Programs has sent 50 cases to the SEC involving potential fraud by public companies related to COVID-19. So reports Think Advisor.
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Securities and Exchange Commission Chair Mary Jo White is proposing a host of reforms for…
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The Financial Industry Regulatory Authority has warned its member firms that claiming IRA are free…
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While market bulls are understandably cheering the ongoing equity rally off of 2009 lows, the…
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Smart beta funds are one of the hottest trends on Wall Street and are generating…
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A recent Government Accountability Office report maintains that 401(k) providers…
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The Department of Housing and Urban Development has changed principal…
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Since the turmoil that seized the banking sector with the mid-March failure of Silicon Valley Bank, at least 21 advisors have left First Republic Bank, with 13 heading to Morgan Stanley. So reports AdvisorHub.
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Private equity group Reverence Capital Partners is courting suitors for a minority stake in wealth…
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The NFL Players Association has approved UBS to work with current and former players through…
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The SEC’s rejiggered advertising and marketing rule officially took hold on November 4, and advisors who have yet to comply should hold off on ads and testimonials until they’re caught up, industry attorneys caution. So reports Think Advisor.
Max Schatzow, partner at RIA Lawyers, noted that the SEC plans to run “focused exams” around the new rule early next year, so advisors shouldn’t “wait another second” to comply.
The SEC adopted the rule in December 2020, but Schatzow said that some clients were still finalizing their plans as the compliance deadline hit.
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