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Quarantine doesn’t slow down suitability violations. FINRA is consistent in their review of unsuitable recommendations. Despite this being a hot Read more
The SEC started an initiative a couple years ago ordering firms to turn themselves in if they had failed to Read more
This is huge news. We haven’t seen this addressed since 1970. The proposal reflects the vast changes that have taken Read more
On January 27th 2020 the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued examination observations related Read more
Did you know that as of July 2019, the SEC has adopted Regulation Best Interest (Reg BI)? This new standard Read more
Note: This story originally appeared on FINRA. You may read it here. Anybody remember the movie Office Space? That red Read more
Not sure how to communicate with your younger coworkers or clients? Looking to attract new clients that don’t fit inside Read more